Professional Documents
Culture Documents
Volume 156
Usage-based Approaches to Japanese Grammar
Towards the understanding of human language
Edited by Kaori Kabata and Tsuyoshi Ono
Editors
Weinei Abiaham
Univeisiiy of Vienna /
Univeisiiy of Munich
Elly van Geldeien
Aiizona Siaie Univeisiiy
Editorial Board
Beinaid Comiie
Max Planck Insiiiuie, Leipzig
and Univeisiiy of Califoinia, Sania Baibaia
William Ciof
Univeisiiy of New Mexico
sien Dahl
Univeisiiy of Siockholm
Geiiii J. Dimmendaal
Univeisiiy of Cologne
Ekkehaid Knig
Fiee Univeisiiy of Beilin
Chiisiian Lehmann
Univeisiiy of Eifuii
Maiianne Miihun
Univeisiiy of Califoinia, Sania Baibaia
Heiko Naiiog
Tohuku Univeisiiy
Johanna L. Wood
Univeisiiy of Aaihus
Debia Ziegelei
Univeisiiy of Paiis III
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Usage-based Approaches
to Japanese Grammar
Towards the understanding of human language
Edited by
Kaori Kabata
Tsuyoshi Ono
University of Alberta
John Benjamins Publishing Company
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Library of Congress Cataloging-in-Publication Data
Usage-based Approaches to Japanese Grammar : Towards the understanding of human
language / Edited by Kaori Kabata and Tsuyoshi Ono.
p. cm. (Studies in Language Companion Series, issn 0165-7763 ; v. 156)
Includes bibliographical references and index.
1. Japanese language--Usage. 2. Japanese language--Spoken Japanese. 3. Japanese
language--Writing. I. Kabata, Kaori, editor of compilation. II. Ono, Tsuyoshi,
editor of compilation.
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Table of contents
Acknowledgement vii
List of contributors ix
Introduction: Situating usage-based (Japanese) linguistics 1
Tsuyoshi Ono and Ryoko Suzuki
part 1. Cognition and language use
Subordination and information status: A case of To and Koto
complement clauses in Japanese 13
Naomi H. McGloin
On state of mind and grammatical forms from functional perspectives:
Te case for Garu and Te-iru 37
Yuki Johnson
Grammar of the internal expressive sentences in Japanese:
Observations and explorations 55
Shoichi Iwasaki
Subjectivity, intersubjectivity and Japanese grammar: A functional approach 85
Rumiko Shinzato
What typology reveals about modality in Japanese:
A cross-linguistic perspective 109
Kaoru Horie and Heiko Narrog
part 2. Frequency, interaction and language use
If rendaku isnt a rule, what in the world is it? 137
Timothy J. Vance
v: Usage-based Approaches to Japanese Grammar
Te semantic basis of grammatical development: Its implications
for modularity, innateness, and the theory of grammar 153
Yasuhiro Shirai
Interchangeability of so-called interchangeable particles:
Corpus analysis of spatial markers, Ni and E 171
Kaori Kabata
Te re-examination of so-called clefs: A study of multiunit
turns in Japanese talk-in-interaction 193
Junko Mori
Activity, participation, and joint turn construction: A conversation
analytic exploration of grammar-in-action 223
Makoto Hayashi
part 3. Language change and variation
Context in constructions: Variation in Japanese non-subject honorifcs 261
Yoshiko Matsumoto
Te use and interpretation of regional and standard variants
in Japanese conversation 279
Shigeko Okamoto
Index 305
Acknowledgement
Te preparation for the volume was generously supported by the Social Sciences
and Humanities Research Council of Canada (#646-2003-1136), University of
Alberta, the Faculty of Arts, the Department of East Asian Studies, and the Spoken
Discourse Research Studio.
We would like to extend our thanks to the symposium secretary Neill Walker
and our many volunteers for their hard work, without which a successful sympo-
sium would simply not have been possible. We would also like to thank Diana
Benschop, Robin Coogan, and Yumi Sasaki for their assistance in preparing the
volume and Janice Brown and Sandra Tompson for their support in organizing
the symposium.
List of contributors
Makoto Hayashi
University of Illinois at Urbana-
Champaign, USA
Kaoru Horie
Nagoya University, Japan
Shoichi Iwasaki
University of Hawaii, Manoa/
University of California,
Los Angeles, USA
Yuki Johnson
Te Johns Hopkins University,
USA
Kaori Kabata
University of Alberta, Canada
Yoshiko Matsumoto
Stanford University, USA
Naomi Hanaoka McGloin
University of Wisconsin-Madison,
USA
Junko Mori
University of Wisconsin-Madison,
USA
Heiko Narrog
Tohoku University, Japan
Shigeko Okamoto
University of California, Santa Cruz,
USA
Tsuyoshi Ono
University of Alberta, Canada
Rumiko Shinzato
Georgia Institute of Technology,
USA
Yasuhiro Shirai
University of Pittsburgh, USA
Ryoko Suzuki
Keio University, Japan
Timothy J. Vance
National Institute for Japanese
Language and Linguistics, Japan
introduction
Situating usage-based (Japanese) linguistics
Tsuyoshi Ono and Ryoko Suzuki
1. Introduction
Starting in the mid-70s, the feld of linguistics saw an explosion of a new breed of
research represented by the work of scholars including Bybee, Chafe, Comrie, Du
Bois, Fillmore, Givn, Haiman, Hopper, Lakof, Langacker, Li, Mithun, Talmy, and
Tompson. Tis movement, though not organized as a research paradigm as a
whole, shares a number of evolving theoretical assumptions, research goals, and
focus of investigation as well as the types of data and methodologies employed. Its
various specifc subgroupings and instantiations have been (self-)identifed by
such designations and labels as Cognitive Grammar/Linguistics, Construction
Grammar, (discourse-)functional linguistics, functionally-oriented linguistics,
West Coast discourse-functional linguistics, and, more recently, usage-based lin-
guistics, which we adopt for this volume.
Te present Japanese-focused volume contains articles written by the second
and third generation of linguists belonging to this tradition. In this introduction,
we will highlight a set of interrelated themes featured in this tradition to situate
the articles in the volume. Our goal is to help the reader gain an understanding of
the main fndings and theoretical implications in our collective efort to better
capture the nature of human language in general and the grammar of Japanese in
particular.
2. Temes in usage-based linguistics
2.1 Universals and cross-linguistic orientation
As is found in some of the traditional schools of linguistics, usage-based linguis-
tics has been very much concerned with universals. Tere are perhaps two distinc-
tive characteristics for the study of universals in usage-based linguistics. (1) Since
i Tsuyoshi Ono and Ryoko Suzuki
its inception in the 70s, usage-based linguists have had a strong cross-linguistic
orientation; proposals for universals in usage-based linguistics were made based
inductively on the examination of multiple languages (e.g., Keenan & Comrie
1977; Hopper & Tompson 1980). Te motivation for the cross-linguistic orienta-
tion is obvious and inevitable in that one of the main goals of usage-based linguis-
tics is to identify a set of universal principles of human language, and one has to
look at more than one language to reach that goal. Tis characteristic originates in
the work by Greenberg (e.g., 1963) and has resulted in the research tradition rep-
resented by such researchers as Givn, Li, Tompson, Bybee, Shibatani, Mithun,
Comrie, Dryer, Crof, and Haspelmath. Proposals in other schools, in contrast,
have strongly tended to be based on select languages, typically just English, though
studies in recent years in the latter appear to involve more and more languages,
perhaps due to infuence from the cross-linguistic orientation of the former. You
will fnd that papers by Horie and Narrog, Shinzato, and Shirai in this volume are
particularly good representatives of this orientation. (2) Along with the cross-
linguistic orientation to the search for universals, the suggested universals have
been motivated by functional factors: (a) cognitive and discourse factors such as
memory, attention, economy and iconicity (e.g., Chafe (1980), Givn (1983),
Haiman (1985), and (b) afective, social, and interactional factors such as emotion,
relationships among interactants, and (dis-)preferred social actions,(e.g., Ochs &
Schiefelin 1989; Sacks, Scheglof & Jeferson 1974). Some of these functional mo-
tivations will be further discussed below.
2.2 External factors and interdisciplinary orientation
An important theme which characterizes usage-based linguistics is the recogni-
tion that language is not a static self-contained entity but is a living organism in-
terfaced with, and thus shaped constantly by, a wide range of non-language factors
including human cognition and interactional concerns.
Cognition (ofen called simply semantics)
Usage-based linguists argue that cognition plays an integral role in every facet of
linguistic activities Langacker 1987. What speakers perceive and feel in context is
tied to the linguistic structure representing the degree of beliefs and various perspec-
tives taken by the speaker and others whose views are embedded in the utterance.
Cognitive concerns are thus naturally refected in the way language changes and is
structured over time. Cognition forms a basis for a number of papers in the present
volume including Horie and Narrog, Iwasaki, Johnson, McGloin, and Shinzato.
Introduction: Situating usage-based (Japanese) linguistics
Discourse/information structure/frequency
Another factor which usage-based linguistics has been oriented to is what is called
information fow (Chafe 1994). For instance, the informational status of a refer-
ent, such as givenness, expectedness, familiarity and so on, is shown to correlate
with several facets of grammar. One example is that the semantic and pragmatic
status of noun phrases in a clause gives rise to crystalization of a particular argu-
ment structure: many languages grammaticize agentivity/topicality which leads to
the same case-marking for subjects of intransitives and that of transitives, whereas
many other languages code newness, with subjects of intransitives and objects of
transitives using the same case-marking (See Du Bois 1985, 1987 for details). It is
important to note that, in usage-based linguistics, the frequency of certain con-
fgurations in discourse is treated as an essential clue to understanding linguistic
structure. Te papers by Kabata and Shirai exhibit some of the characteristics of
this thread.
Interaction
Investigation of language based on usage gains insights from careful observation
of the ways in which interlocutors manage conversation moment-by- moment to
achieve a wide range of communicative goals. In particular, turn-taking is one of
the major topics of investigation among research on conversational interaction.
Researchers discuss the nature of prosodic/grammatical units and other interac-
tional factors, including gaze and gestures, interacting together to constitute a
TCU (turn construction unit). Tis research thread has led to the formation of a
new research paradigm called Interactional Linguistics, involving researchers such
as Tompson, Couper-Kuhlen, Ford, Fox, Selting. Te papers by Hayashi and Mori
in the present volume are particularly good examples representing this thread.
Interdisciplinary orientation
As a natural consequence of having to deal with the above-mentioned factors,
which are well studied in felds outside of linguistics, it is evident that usage-based
linguistics has been an interdisciplinary endeavor. It necessarily closely intersects
with psychology and cognitive science on the one hand, and sociology, anthropol-
ogy and communication studies on the other.
2.3 Parting from intuition
Usage-based linguists have long expressed concerns regarding the use of speakers
grammaticality judgment (the so-called native speakers intuition) of constructed
examples as the primary data and methodology to study what is claimed to be core
| Tsuyoshi Ono and Ryoko Suzuki
properties of language. For this reason, from early on, usage-based linguists distin-
guished themselves by taking into consideration semantics and pragmatics in ana-
lyzing linguistic structure even though they were then still examining constructed
examples. In the mid-80s, going along with the idea that the study of the structure
and use of language cannot be separated, usage-based linguists gradually shifed
their attention to actual use: discourse. Initially this was done with more readily
available types of data such as written texts and traditional folk tales and more eas-
ily collectable data such as elicited spoken narratives, but starting in the early/mid
90s, more and more researchers have been turning their attention to everyday talk,
the primary form of language, on which both qualitative and quantitative analyses
focusing on cognitive, discourse, afective, social and interactional factors are per-
formed. Tis research has mostly been hypothesis-building in nature in that one
observes data carefully and sorts out the patterns which emerge out of the data. All
the contributions in the current volume address the problem of relying solely on
intuition, though Iwasaki, Johnson, and McGloin particularly underscore the util-
ity of the traditional methods. More recently, however, an increasing number of
researchers have started employing rather sophisticated statistical methodologies
on large scale corpora to test specifc hypotheses and further engaging in experi-
mental work trying to pin down specifc factors in actual language use. Papers by
Kabata and Vance are good examples of this newer trend.
Unfortunately, progress along these lines is hampered by the general lack of
large-scale corpora representing naturally occurring talk. Tat is, the large corpora
currently available are severely limited in everyday talk, the primary form lan-
guage, and instead made up mostly of various types of written sources and, in
some rather limited cases, monologues and speeches as well as conversations cre-
ated for research purposes, even though claims based on them are typically made
as general properties of particular languages or human language in general. It
should be pointed out that Japanese is no exception to this overwhelming pattern.
Needless to say, constructed situations in experimental studies which are assumed
to bring out human behavior in actual interactional contexts are, at the very least,
suspect. Tis is perhaps the main reason why some usage-based linguists have
tended to be skeptical about many of the fndings of these recent statistical and
experimental studies.
It is our belief that in order to further advance the science of Japanese linguis-
tics, the frst step to take should be to try constructing a corpus representing vari-
ous types of language use (determining what is a proper mix of various types of
language use in itself is an important project of its own), especially representing
naturally occurring talk. Tis would become a major milestone not only for the
study of Japanese but also for human language in general since large-scale corpora
of naturally occurring talk are still extremely limited.
Introduction: Situating usage-based (Japanese) linguistics ,
2.4 Non-discrete nature of linguistic categories
Another area where usage-based linguists distinguish themselves from those with
more traditional views is the understanding and therefore treatment of linguistic
categories. Traditionally, linguistic categories such as nouns vs. verbs have tended
to be thought of as discrete entities. However, usage-based studies (Hopper &
Tompson 1980, 1984; Givn 1983; Langacker 1987, 1991) have highlighted the
non-discrete nature of linguistic categories where such categories as noun, verb,
transitivity, and topic are better understood, not in terms of yes or no, but more or
less, such as more/less nouny/verby, more/less (in)transitive, more/less topical, and
so forth. Tis is, however, still far from being a mainstream view as observed in
how these categories are discussed and treated by linguists with various theoretical
orientations in the literature. In our view, studies dealing with the categories are
minimally responsible for justifying their particular treatment rather than simply
assuming that they are discrete. Again a number of papers in this volume, includ-
ing Johnson, McGloin, and Okamoto, exhibit some characteristics of this thread.
Perhaps not unrelated to the idea that linguistic categories are not discrete is
the usage-based linguists view on the general structure of grammar. Te other
commonly held traditional view of grammar is that language consists of specifc
components such as syntax, phonetics, and lexicon, which might at frst seem rea-
sonable. Tose who hold the view that language consists of components contend
that it is simply a hypothesis while usage-based linguists say if it is a hypothesis, it
needs to be tested. Again usage-based linguists commonly view that (1) boundaries
among those components are much less discrete than has been assumed, (2) in fact,
some of the standard separate components seem to be much better understood as
having a diferent type of structure such as grammar and lexicon forming one sin-
gle component (Langacker 1987) where the notion of grammar and lexicon is
captured in terms of degree such as more or less grammatical/lexical, and (3) min-
imally one should not simply assume that language consists of components; it needs
to be verifed. Papers by Matsumoto, Okamoto, Shinzato, and Shirai in this volume
give relevant discussion to this issue. Further, as we will suggest below, the non-
discreteness observed in these traditional components of grammar might simply
be a consequence of the reality of actual human behavior: language change.
2.5 No division between synchrony and diachrony
One of the crucial questions that usage-based linguists would ask is why languages
have become the way they are now. Paying special attention to recurrent patterns
in discourse and where and how the patterns emerge, they view grammar as evolv-
ing through frequent use, thus constantly-changing, rather than static and fxed.
o Tsuyoshi Ono and Ryoko Suzuki
In other words, rather than subscribing the commonly held distinction of syn-
chrony and diachrony, the researchers take a non-discrete view in terms of the
temporality of the data. Hopper (1987) coined the term emergent grammar to
indicate that there is nothing called a grammar of language in reality, but what we
see in everyday talk is the process of grammaticization (grammaticalization) in
which fuid uses become more fxed patterns through recurrence (See also work by
Bybee 2010, Du Bois 1985, 1987 among others). A number of papers in this vol-
ume including Matsumoto, Shirai, and Shinzato address this issue.
3. Preview of the articles
Te reader will learn quickly that refecting theoretical, methodological, and tech-
nological advancements made in and outside the feld in recent years, the above
articles all focus on specifc phenomena employing various methodologies yet to-
gether manage to highlight general aspects of Japanese and human language.
Te frst part of this book deals with papers that are concerned with the inter-
action between cognition and language use. Te contribution by Naomi McGloin
is perhaps most traditional in that she compares cases where the use of the com-
plementizers no and koto are said to be interchangeable. Using constructed ex-
amples and internet data, McGoin, however, identifes some clear structural and
informational diferences associated with them where diferences should be cap-
tured not in terms of either or but in terms of degree. In particular, she shows
that, unlike what has previously been suggested, no actually interjects a strong
subjective stance by the speaker.
Yuki Johnson flls the gap between the traditional understanding of grammar
and actual usage by focusing on examples taken from conversation and e-mail as
well as speaker judgment about them. Specifcally, she focuses on garu and te-iru
which have both been traditionally analyzed to describe a state of mind which
belongs to someone other than the speaker. She fnds that the use of these forms is
closely tied with who the speaker considers her/his in- and out-group and con-
tends that one not only needs the description of standard grammar but usage data
to fully account for how they are used.
Te contribution by Shoichi Iwasaki focuses on a type of expression which
has escaped the attention of researchers, such as a! itai! Ouch!. Iwasaki shows that
these (internal) expressive sentences have a distinct set of grammatical patterns
which represent neurological experience of perception, emotion, and feeling
which the speaker undergoes. Iwasakis study is based on constructed data, but he
explores other ways in which one might study these expressions which are rather
difcult to obtain examples of in actual language use.
Introduction: Situating usage-based (Japanese) linguistics
Rumiko Shinzato also looks into traditionally neglected non-propositional
aspects of Japanese. Specifcally, she goes over various areas of Japanese language
intimately connected to the subjectivity and intersubjectivity distinction: the or-
der of predicate elements, the mental (e.g., omou think) /speech act (e.g., iu say)
verb diference, and soliloquy/dialogue distinction. She further highlights this
connection refected in diachronic change in terms of the unidirectionality of
grammaticization.
Kaoru Horie and Heiko Narrog also take a cross-linguistic approach to their
study of modality in which they examine Japanese along with English, German,
and Korean. By examining specifc modal categories of these languages from a
typological perspective, Horie and Narrog suggest that the grammatical encoding
of modality varies cross linguistically much more than tense and aspect precisely
because it is tied to the socio-cultural cognition and communicative practices of
particular linguistic communities.
Part 2 presents those papers that examined the infuence of external factors,
including frequency and interactions on language use. Timothy Vance tackles a
well-known voicing phenomenon rendaku (also known as sequential voicing)
which is, as he shows, fundamentally irregular. Afer reviewing some experimental
studies which all result in partially regular patterns yet are not conclusive at all,
Vance wonders in the end if the feeling of predictability based on analogy might
result in the mistaken belief among speakers (perhaps linguists) that there is a
relatively straightforward regular rule what, as the current authors think, might
be responsible for some (or many) of what we conceive of as grammatical rules.
Yasuhiro Shirais study is cross-linguistic in nature by going over series of
studies focusing on various grammatical phenomena in Japanese as well as English
and Korean in order to establish the semantic basis of L1 grammatical develop-
ment. He advocates a view of grammar acquisition which is guided by semantic
prototypes formed from the input children are exposed to Shirai problematizes
a number of theoretical assumptions and devices such as the discreetness of cate-
gories and the modularity of grammar ofen uncritically adopted in traditional
approaches.
Te paper by Kaori Kabata highlights the discrepancy between what is repre-
sented in Japanese grammar and what empirical data reveals. Specifcally, she
examines data from various sources including native speakers judgments and cor-
pora involving actual spoken and written language use and fnds that the Japanese
allative markers ni and e, which have been assumed be interchangeable exhibit
clear skews bringing into questions where diferent types of data show diferent
types of skews, how grammar should be understood and represented.
Junko Mori adopts the Conversation Analysis (CA) framework to examine
one particular type of the so-called clef construction, X wa Y da, in which she
8 Tsuyoshi Ono and Ryoko Suzuki
fnds the second Y da part is rarely produced in actual conversation. She instead
shows that the frst X wa part is tied to an extended unit of talk showing that the
relevant connection might not be syntax, as has been assumed based on the analy-
sis of constructed examples. Her fndings were supported by CA based evidence,
which most radically includes the analysis of bodily behavior demonstrating the
intimate connection between language and bodily behavior.
Perhaps in a very radical way, Makoto Hayashi directly examines the tight
connection between grammar and interaction in conversational data. Specifcally,
Hayashi focuses on joint turn construction a practice whereby a participant in
conversation completes a grammatical unit-in-progress initiated by another par-
ticipant and shows that grammar and interaction continuously shape each others
realization, again demonstrating the need of a dynamic view of grammar which
was traditionally absent in the feld of linguistics.
Te two papers in Part 3 deal with language change and variation. Te article
by Yoshiko Matsumoto analyzes data from actual speech and the internet. She
reveals that non-subject honorifc forms, which mark deference to the referent of
non-subject arguments of the clause, are instead used to mark deference to the
addressee (or the reader of the internet) demonstrating that grammatical device
marking a relationship among the referents expressed in the utterance (semantics)
has come to mark a relationship within the speech context (pragmatics). Tis new
use seems to be rather widely observed and is in fact accepted by Japanese speak-
ers, suggesting that they are not merely errors but another example of the change
documented in the history of Japanese where referential honorifcs changed into
addressee honorifcs.
Shigeko Okamoto adopts conversation data in her study of regional dialects
(Osaka and Yamaguchi) of Japanese with the background where switching of
distinct dialects of Japanese has been commonly discussed based on informal ob-
servations and self-report survey data. She fnds the actual use to be much more
complex and radically diferent since, at various points in producing utterances,
speakers variedly choose phonological, morphological, and lexical forms of the
regional and Standard Japanese forms (i.e., variant choice). Tis results in (a) con-
stant mixing of the two varieties within and across utterances and (b) diferent
amounts of the two, depending on the speaker. She calls for the need to study in-
dividual human behaviors in depth and for a dynamic view of language to account
for such a behavior.
As a whole, these papers provide us with a rich array of data and methodolo-
gies which illuminate Japanese grammar in context. Tey reveal multiple new
ways and layers of understanding of grammar as a usage-based phenomenon, nat-
urally associated with plentiful of traces of ongoing change.
Introduction: Situating usage-based (Japanese) linguistics
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part 1
Cognition and language use
Subordination and information status
A case of To and Koto complement clauses
in Japanese
Naomi H. McGloin
Tis paper examines one type of subordinate construction in Japanese, namely,
complement clauses, in particular those where two diferent complementizers, to
and koto, are interchangeable. Despite the general notion that main clauses code
foreground information (or express a main assertion) while subordinate clauses
code background information (or less profled information), our examination
shows that some subordinate clauses do code more important foreground
information. Subordinate clauses are not by any means a unitary category; they
display difering degrees of subordination. My goals, therefore, are to delineate
diferences between the two complementizer uses, and to show that clauses
with to and koto present difering degrees of subordination, and that there is a
correlation between degree of subordination and information status.
1. Introduction
1
Te status of subordinate clauses
2
and subordination has been of interest to lin-
guists for some time. Davidson (1979: 106107), for example, ofers the following
criteria for subordinate constructions:
1. Tis paper was originally presented at the Symposium on Functional Approaches to
Japanese Grammar, held at the University of Alberta, August 2022, 2004. I am grateful to all the
participants of the symposium for their comments. I am particularly indebted to Shigeko
Okamoto for her comments on an earlier version of the paper, and editors of this volume,
Tsuyoshi Ono and Kaori Kabata, for their detailed comments on the draf version of this paper.
I am also grateful to the anonymous reviewer of this volume for insightful comments.
2. Matthiessen and Tompson 1988, for one, distinguishes two types of subordination embed-
ding (e.g., relative clauses) and clause combining (clauses connected by connectives, conditional/
temporal phrases, etc.). In this paper, I am using subordination to cover both of these types.
:| Naomi H. McGloin
(1) Syntactic:
a. non-fnite verb
b. complementizer, conjunction, relative pronoun (Tis means relative
clauses, complement clauses and adverbial clauses are considered to
be subordinate clauses.)
c. special word order, impossibility of inversion (in English), presence of
special mood
d. ability to undergo movement as a constituent
e. backwards pronominalization, deletion of subject by Equi, etc.
f. proper inclusion within another clause
Semantic:
a. dependency of thought; greater cohesion of constituents
b. contents of the clauses are presupposed to be true, or not a separate
assertion
c. contents of the clause are in the scope of some higher predicate; nega-
tion, question, etc.
d. clause plays a grammatical role in another clause; subject, object, etc.
Pragmatic:
a. clause expresses background information
b. clause functions as a modifer of some other sentence, adjacent in dis-
course
In addition, it has been claimed that subordinate clauses are more conservative
and resist innovations. Matsuda (1998), for example, examines two competing po-
tential sufxes (conservative (tabe)rareru form and innovative (tabe)reru form)
and fnds a statistically signifcant diference in their occurrences: the innovative
form is more advanced in main clauses than in embedded clauses (p < .008).
Te relationship between the subordinate status of clauses and the information
structure how main and subordinate clauses code given and new information, or
background and foreground information, has been the center of some controversy
(Givn 1979; Fox & Tompson 1990; Tomlin 1985; Prideaux 1993). Te conven-
tional view is that subordinate clauses are presupposed, and hence should contain
given information while new information is expected to reside in main clauses
(Bever 1969, 1970; Givn 1979). Langacker (1991: 436) states, A subordinate
clause is ... one whose profle is overridden by that of the main clause. Prideaux
(1993: 57), although he actually argues against the following view, states:
A further factor which might also be at work here is some version of the principle
of iconicity (Haiman 1985; Givn 1989), according to which the more central,
important, and new information could be placed iconically in the more salient
Subordination and information status :,
main clause, which of course can stand alone, while the less important given in-
formation fnds itself relegated to an iconically less salient subordinate clause sta-
tus. A similar possibility seems to hold for the proposed foreground-background
distinction, where foreground information tends to be found in main clauses and
background information in subordinate clauses.
Tomlin (1985) fnds that the aforementioned correlation between information
status and main-subordinate distinction holds, i.e., independent clauses code
foreground and pivotal information; dependent clauses code background infor-
mation. (p. 85) More work, however, has shown that this correlation does not al-
ways hold true (Schleppegrell 1992; Tompson 2002; Prideaux 1993). Prideaux
(1993), for example, examines adverbial and relative clauses, both in oral and writ-
ten narratives, and fnds that there is a signifcant tendency for relative clauses to
encode new information as well as a strong tendency for adverbial clauses to rep-
resent new information. Te problem here, of course, is that notions of
foreground/background information and new/old information do not always co-
incide. It is possible that clauses containing new information create a background-
ing efect in discourse. We will examine notions of foreground/background infor-
mation later in the next section.
Tompson (2002), moreover, claims that some complement clauses, which are
grammatically subordinated, actually contain the main assertion of the utterance.
Based on an examination of actual conversations, she argues that in the majority
of cases, the complement overrides the main clause, and the main clause is there
to provide the speaker stance towards the assessments, claims, counterclaims, and
proposals (2002: 134). In other words, the complement clause represents fore-
ground information.
In the present paper, I will examine one type of subordinate construction in
Japanese, i.e., complement clause. In particular, I will investigate cases where two
diferent complementizers to and koto are interchangeable. My goals are two fold
(1) to delineate diferences between the two complementizer uses, and (2) to show
that clauses with to and koto present difering degrees of subordination, and that
there is a correlation between degree of subordination and information status. In
particular, I would argue that to complementizer, being less subordinate than koto,
has an efect of foregrounding information presented in the complement clause.
2. Foreground vs. background information
Te notion of foreground vs. background information has been used in analyzing
narrative organization (Longacre 1976; Hopper 1979). Hopper (1979: 213214)
defnes the parts of the narrative which relate events belonging to the skeletal
:o Naomi H. McGloin
structure of the discourse as foreground, and the background as what amplif[ies]
or comment[s] on the events of the main narrative. So, in (2), the gerund clause
represents a background event, as opposed to the main clause, which represents a
foreground event. We journeyed for several days, passing through a few villages.
(Hopper 1979: 215)
Applying these concepts beyond analysis of narrative structure, Tomlin (1985:
89) characterizes foreground information as information which is more central or
salient or important to the development of the discourse theme and background
information as that which elaborates or develops foreground information.
In the present paper, I will propose that a certain construction has a fore-
grounding efect in the sense that the speaker, by using this particular construc-
tion, presents a piece of information as particularly important to the main theme/
argument/claim or worthy of attention, thereby emphasizing or strongly asserting
this information toward the addressee. On the other hand, a backgrounding ef-
fect obtains when information is presented as expected or obvious or subordinate
in importance.
Observe the following sentences.
(3) A: Hasami doko ni oita kana?
scissors where at put-pst I wonder
Where did I put the scissors, I wonder.
B: Soko ni aru janai.
3
there at exist
Its there, dont you know?
(4) Dooshi toka demo, koko dattara ekaado o
Verbs like even here cop-if picture card acc
tsukatte yaru janai desu ka?
use do
Sooyuu no mo nai kara, ....
4
such thing one also not exist because
In regards to verbs, here we practice using picture cards, right?, but since
they dont have such things, so ....
In (3), janai has an expressive function, and Bs utterance ending with janai fore-
grounds the information. Here, B is pointing out the fact that the scissors are
(right) there to A, who does not notice them. In (4), on the other hand, janai has a
textual function. In (4), janai is used textually to provide an anaphoric reference
3. Tis is taken from Ide (1984).
4. Tis example comes from a conversation between two native speakers of Japanese, which
was recorded at an American university as part of a research project on Japanese discourse.
Subordination and information status :
for the following pronominal expression (sooyuu no such thing). In the sense that
the sentence ending with janai is there to introduce information for further com-
ments, it can be said that this information is subordinate in importance to what
follows, and hence is backgrounded.
5
3. Degree of subordination
It has been noted that various embedded clauses manifest diferent degrees of sub-
ordination to the main clauses (Kuno 1973; Minami 1974; Masuoka & Takubo
1992; Moriyama 2000). Moriyama classifes subordinate clauses into three types.
Clauses which cannot have an independent subject, as in (5), are considered to
have the greatest degree of subordination.
(5) a. Taroo ga terebi o mi-nagara, benkyoo suru.
nom tv acc see-while study do
Taroo studies while watching TV.
b. *Taroo ga terebe o mi-nagara, Hanaoko ga benkyoo suru.
*Hanako studies during Taroos watching TV.
Temporal and conditional clauses are considered to be less subordinate since
they can have an independent subject diferent from the main clauses. However,
they cannot embed modals (e.g., daroo probably) or the thematic particle wa,
which express speaker subjectivity, as in (6b) and (6c).
(6) a. Hanako ga ie ni kaeru to, Taroo ga
nom home to return when nom
sake o yooishita.
sake acc prepared
When Hanako got home, Taroo served sake.
b. *Hanako ga ie ni kaeru daroo to, Taroo ga sake o yooishita
probably
*When Hanako probably went home, Taroo served sake.
c. *Hanako wa ie ni kaeru to, Taroo ga sake o yooishita.
top
As for Hanako, when she got home, Taroo served sake.
5. McGloin (1999) argues that this textual function of janai (desu ka) is a relatively recent us-
age. See McGloin (1999) for the expressive and textual functions of janai (desu ka).
:8 Naomi H. McGloin
Clauses such as -kara because and -keredo but are the least subordinate, and
they share many syntactic characteristics with an independent clause. For instance,
just like independent clauses, kara and keredo clauses not only can have an inde-
pendent subject but also embed modals and the thematic particle wa, as in (7).
(7) a. Heya wa shimatte iru kara, Taroo wa inai.
room top close is because top exist-neg
Te door to the room is shut, so Taroo is not in.
b. Isogashii daroo kara, ato de denwa o suru.
busy probably because later telephone acc do
Since you are probably busy, I will call you later.
Now, what distinguishes even the least subordinate clauses such as -kara and
-keredo from an independent clause is the fact that these clauses do not embed
sentence fnal particles such as ne and yo, which ofen occur at the end of an inde-
pendent sentence.
6
(8) a. Kono hon wa omoshiroi yo.
this book top interesting fp
Tis book is interesting, I tell you.
b. *Kono hon wa omoshiroi yo
this book top interesting fp
kara, yonde iru.
because read be
*Since this book is interesting, I tell you, I am reading it.
Tis can be summarized in Table I.
Table I.
More subordinate less
nagara while
tsutsu while
-to when
tara, ba if/when
keredo but
kara because
Can S1 and S2 have diferent subjects? NO YES YES
Can S1 embed modals (e.g., daroo)? NO NO YES
Can S1 embed a thematic particle wa? NO NO YES
Do sentence fnal particles appear in S1? NO NO NO
6. Tese clauses also do not embed imperatives, volitional forms, which occur in independent
clauses.
Subordination and information status :
4. Object complement clause in Japanese
In the following, we will examine object complement construction in Japanese and
show that a complement clause, which is syntactically subordinate to the main
clause, does carry the main import of the sentence. It will be shown that there is a
correlation between foregrounding efect and degree of subordination.
4.1 Overview
In Japanese, object complement clauses can be marked by to, koto, or no, as in (9).
(9) a. John wa Mary ga nihongo o hanasu to itta.
top nom Japanese acc speak cp say-pst
John said that Mary speaks Japanese.
b. John wa Mary ga nihongo o hanasu koto o shitte iru.
top nom Japanese acc speak cp acc know be.
John knows that Mary speaks Japanese.
c. John wa Mary ga nihongo o hanasu no o kiita.
top nom Japanese acc speak cp acc hear-pst
John heard Mary speaking Japanese.
Kuno (1973: 213) observes:
Te koto and no clauses represent an action, state, or event that the speaker pre-
supposes to be true, while the to clause represents an action, state, or event that
does not have such a presupposition.
So, in (9a), the speaker does not presuppose the complement sentence to be true
i.e., Mary might or might not speak Japanese, while in (9b) and (9c), the speaker
knows that it is true that Mary speaks Japanese. Hence, it is generally the case that
to is associated with non-factivity, and koto and no with factivity. To marks an ob-
ject complement clause of nonfactive predicates, such as verbs of saying, verbs of
thinking and counter-factual verbs, while koto/no mark a complement clause of
factive predicates. Furthermore, the diference between koto and no is said to be
abstract vs. concrete. When the complement clause represents an abstract idea
such as the complement of the verb to learn, koto is used. On the other hand, for
the complement clauses of verbs of sense perception, such as to see, to hear, etc.,
which involve concrete and direct experiences, no is used.
7
7. For more detailed discussions of factivity and complementation, see Kuno (1973),
Suzuki (1997) and McCauley (1978).
io Naomi H. McGloin
For the present paper, it is also important to note that some of the factive
predicates i.e., what are generally called semi-factive predicates
8
(e.g., to know,
to learn, to fnd out, to realize) can mark their complement clauses either with to
or koto, as in the following examples.
(10) a. Tokyo wa bukka ga takai koto o shitte imasu.
top cost nom expensive that acc know-be
I know that the cost of living is expensive in Tokyo.
b. Tokyo wa bukka ga takai to shitte imasu.
I know that the cost of living is expensive in Tokyo.
Since it is generally assumed that the diference between to and koto is the matter
of factivity, it was somewhat of a mystery why the non-factive complementizer to
sometimes co-occurs with factive predicates, namely those which are classifed as
semifactives. Kuno (1973: 217), for one, observed, For some mysterious reason,
siru to get to know can be used with to in certain contexts. (see Section 4.3 for
more discussion on this.)
In the following discussion, we will zero in on cases like (10). We will not ex-
amine the diferences between koto and no. Tis is because the focus of this paper
is to examine the relationship between degree of subordination and foregrounding
efect and for this purpose we will be focusing on verbs which allow alternation
between to and koto.
4.2 To vs. Koto: Syntactic diferences and degree of subordination
To is generally said to mark a quotation, and as such it can introduce both direct
and indirect quotations.
9
In a case like (9a), however, it is considered to be a case
8. Semifactives are diferent from true factives in that it is possible to construct sentences in
which the truth of a semifactive complement cannot be inferred from the entire sentence.
(Hooper 1975: 114) So, if one says, it is possible that I will fnd out that I have not told the
truth, the complement sentence is not presupposed to be true even the speaker does not know
whether he has told the truth or not. (cf. Karttunen 1971; Hooper 1975)
9. Direct quotations are generally distinguished from indirect quotations in Japanese by the
use of a logophoric quotation marker. Moreover, if the to-marked sentence has fnal particles,
polite desu/masu endings and deictic words such as ashita tomorrow, it can only be a direct
quote. (i) is a case of a direct quote and (ii) an indirect quote.
(i) Tanaka wa Kyoo sensei ni aimashita yo to itta.
top today teacher with meet-pst fp qt Say-pst
Tanaka said, I met my teacher today.
(ii) Tanaka wa sono hi sensei ni atta to itta.
top that day teacher with meet-pst qt say-pst
Tanaka said he met his teacher that day.
For more discussion on this, see Coulmas (1985), Maynard (1986), and Kamada (1988), among
others.
Subordination and information status i:
of indirect quotation and here to is considered to be an object complementizer in
that it serves to link a complement clause to the main clause. In the following, we
will examine how to and koto behave diferently syntactically and demonstrate
that to complement clauses show more syntactic independence than koto comple-
ment clauses.
Applying three criteria for degree of subordination proposed by Moriyama
(cf. Section 3), both to and koto clauses can have a diferent subject from that of the
main clause.
Second, to clauses embed certain types of modal expressions, while koto claus-
es do not.
(11) a. Sekai wa heiwa ni naru daroo to omotta.
world top peaceful become probably cp think-pst
I thought the world would probably become peaceful.
b. Sekai ga heiwa ni naru daroo to wakatte ita.
world nom peaceful become probably cp knew
I knew that the world would probably become peaceful.
c. *Sekai ga heiwa ni naru daroo koto ga wakatta.
world nom peaceful become probably cp nom know-pst
I knew that the world would probably become peaceful.
(12) a. Nihon e ikoo to omotta
Japan to go-volitional cp think-pst
I thought I would go to Japan.
b. *Nihon e ikoo koto o kikaku shita.
Japan to go-volitional cp acc plan do-pst
I planned that I would go to Japan.
As for sentence-fnal particles, varying degrees of acceptability are observed. To
complement clauses of non-factive verbs seem to accept sentence-fnal particles,
as in (13a) and (13b). It is questionable in to complement clauses of semi-factive
verbs, as in (13c). It is not acceptable in koto clauses of either semi-factive verbs or
factive predicates as in (13d).
(13) a. Benkyoo sureba dekiru yo to omou.
study do-if can do fp cp think
I think (I) can do it if I study.
b. Omoshiroi ne to omotta.
interesting fp cp think-pst
I thought it was interesting.
ii Naomi H. McGloin
c. *Omoshiroi yo to wakatte imasu.
interesting fp cp know-be
I know it is interesting.
d. *Omoshiroi yo koto ga wakatte imasu.
So, according to Moriyamas criteria, to clauses are actually less subordinate than
koto clauses.
Tere are, moreover, other syntactic diferences between to complement claus-
es and koto clauses . For example, to complement clause can be pronominalized by
soo, while koto clauses cannot, as in (14).
(14) a. John wa nihongo ga yasashii to omotte
top Japanese nom easy cp think
iru. Watashi mo soo omou.
be I also so think
John thinks Japanese is easy. I think so too.
b. John wa amerika no dagaku ga taihen
top American lk college nom hard
da to wakatte iru.
cop cp know-be
John knows that American colleges are difcult.
Watashi mo soo wakatte iru.
I also so know-be
I also know so.
c. John wa kuroo shita koto o wasurete iru.
top hardship do-pst cp acc forget be
*Watashi mo soo wasurete iru.
I also so forget be
John forgot that (he) had a hard life. *I forgot so too.
Soo is a sentential pronoun, and the fact that it can replace a to clause indicates that
the to clause has a sentential status and thus is more independent than the koto
clause.
10
We can summarize these observations as follows:
10. It is interesting to note that the subject of the to complement clauses can be raised to the
main object position, as in (iii), but not the subject of the koto clause (cf. Masuoka & Takubo
1992: 186; Kuno 1976).
(iii) a. Nihonjin o kinben da to omoimasu ka?
Japanese acc diligent cop cp think Q
Do you think Japanese are diligent people?
Subordination and information status i
Table II.
More subordinate less subordinate
Complementizer koto to
Verb types True factives forget
Semifactives know
Semifactives
know
Non-factives
think
Diferent subjects? YES YES YES
Modal expressions? NO YES YES
Soo pronoun? NO YES YES
Sentence-fnal Particle NO NO ?YES
To the extent that to complement clauses can embed modal expressions, they are
more like independent sentences, and hence, we can say that to complement claus-
es show more independence as a clause than koto complement clauses. To clauses
with semi-factive predicates, moreover, seem more subordinate than to clauses
with non-factive predicates since the former does not allow sentence-fnal parti-
cles. Ten, what is the diference between to clauses with non-factive predicates
and independent sentences? To complement clauses of non-factive predicates are
still subordinate in nature because (1) they cannot stand alone, (2) occurrence of
sentence-fnal particles is not as free as in independent sentences, and (3) polite
sentence endings, including polite request forms (e.g., -te kudasai) and V-mashoo
lets V form, do not occur in to complement clauses. Te use of these polite forms
in to clauses generally turns the clauses into direct quotes.
4.3 To vs. Koto: Functional diferences
In this section, we will try to delineate functional diferences between complemen-
tizers to and koto. For this purpose, we will focus on those cases where alternation
between to and koto is observed. In Section 4.1, we noted that the semifactive
predicates (such as to know, to learn, to fnd out, etc.) take either to or koto as
their complementizers. By examining these cases, we will propose that the func-
tional diference between to and koto is not factivity, nor distance as is proposed
by Suzuki (1997), but rather that of foregrounding/backgrounding efects.
b. *John o bengoshi de aru koto o wasurete ita.
acc lawyer cp acc forget be-pst
I forgot that John is a lawyer.
In (iiia), nihonjin is the object of the main verb omou, and at the same, it is the subject of the
complement sentence kinben da.
i| Naomi H. McGloin
4.3.1 To as a marker of psychological distance
Suzuki (1997) gives an interesting account for the co-occurrence of to and these
semifactive predicates. Observe the following examples from Suzuki (1997: 298).
(15) Sore wa itsuka kaette kuru to ikura
that top some day return come cp how much
shitte ite-mo, hakkiri mimi ni suru made kesshite te
know:is:even if clearly hear until never hand
ni hairanai jikkan datta.
in enter:NEG real feeling was
Although I knew very well that he was coming home some day, I did not
feel that would actually happen until I heard it with my own ears.
(16) Chishiki to shite wa ka de wa utsuranai tte
11
knowledge as mosquitoes by top transmit:neg CP
wakatte ite-mo kininarimashita.
know:is:even if was concerned
Although I rationally knew that it was not communicable by mosquitoes,
I was still worried (Suzuki 1997: 298).
Using Frajzynger (1991)s notions of de dicto (the domain of speech) and de re (the
domain of reality), Suzuki argues that to, which also marks quotation, is character-
ized as a de dicto complementizer. Since what is quoted or reported is viewed by
the speaker as belonging to someone else, she argues that, when the speaker uses
to, s/he feels distanced from the information presented in the complement clause.
Te main function of to, she argues, is to suggest the speakers psychological dis-
tance from the information expressed in the complement clause (2001: 37).
According to Suzuki, the speaker is psychologically distanced from the follow-
ing kinds of information:
(17) a. information which the speaker regards (or presents) as that belonging
to others
b. information which the speaker does not entirely consider to be true
c. information which the speaker disapproves of in content
d. information which is viewed by the speaker objectively
In both (15) and (16), the complement clauses represent facts. However, a non-
factive to occurs. Tis is because the speaker is not entirely convinced of the reality
11. In (16), tte can be considered as a colloquial variant of to. Te use of tte, however, is broad-
er than to, and it is not certain if tte should indeed be analyzed simply as a variant of to. For
discussions of tte, see Okamoto (1995) and R. Suzuki (1999), among others.
Subordination and information status i,
of the information contained in the complement clause. Sentence (16), for exam-
ple, is said by a woman who went to Africa, where AIDS was an epidemic. While
she intellectually knew that the AIDS virus is not spread by mosquitoes, emotion-
ally she could not fully integrate this knowledge into her belief system, and in this
sense, she feels distanced from this fact.
Tis is an interesting account, and accounts for why to is used in the following
example also.
(18) Mausu ga warui to wakatte itemo, (gachagachagacha) to yatchau.
mouse nom bad cp know-be-even if (rattling noise) do
Wakatte ru n da kedo.
12
know:be nml cop but
Although I know that the (computer) mouse is bad, I still move it. I know
(its bad), but..
Before (18), the speaker said that she wished that somehow her computer get fxed
miraculously. Te speaker knows that the problem is a bad computer mouse, but
she cannot resist moving it, just wishing it worked. So, we could say that here the
speaker again has not integrated this fact into her belief system, or to is used here
because the speaker disapproves of its content.
4.3.2 To as a device to foreground information
When we look at actual discourse data,
13
there are many examples of to where the
speaker knows that the information represented in a complement clause is true
and no psychological distance is detected on the part of the speaker.
(19) Hontoo wa ii ko da to wakatte ita node, chuui
reality good child cop cp know-state-Past because caution
shitara, sono tsugi kara wa chikoku mo nakunari, totemo
do-when that next from to be late also cease very
tsukiai yasuku narimashita yo.
associate easy became fp
(http://www.minaminippon.co.jp, 07/29/02)
I knew that (he) was actually a good kid, so I gave (him) a word of cau-
tion. Ten, the following day, he stopped being late (for class) and (he)
became easy to deal with.
12. Tis example comes from the authors feld notes.
13. Te majority of the data come from internet web sites. Tey were collected using the google
search engine.
io Naomi H. McGloin
(20) Kitakuni to onaji sharyoo to wakatte ita node joosha ga
with same train(car) cp know be-pst because riding nom
tanoshimi deshita.
looking forward to was
(http://homepage1.nify.com)
I knew that it was the same train (car) as that of Kitakuni, so I was really
looking forward to riding it.
In (19) and (20), the complement clauses do not represent information that the
speaker feels distanced from. On the contrary, the speaker seems quite convinced
of the information presented in the complement clauses. In (19), the speaker is
strongly convinced that the kid has a good heart (although others might not think
so, as indicated by the use of hontoo wa), and that this is a positive characteristic,
not something that the speaker disapproves of. Similarly, in (20), the speaker knew
that the train s/he was taking was the same as another special train, and since s/he
believes this to be true and is not wishing it otherwise, there is no reason for the
speaker to feel distanced from the information.
Te actual data show that the cases where to is used with these semifactive
predicates are when the speaker has some reason to foreground or emphasize the
content of the complement clauses. Observe the following example.
(21) Isetan no mae de takushii ni noroo to shite, takushii noriba
lk front at taxi in try to ride do taxi station
ni iru kakari no hito ni hikoojoo made ikura?
at is person in charge lk person to airport to how much
to kiitara, 400 baatsu to iwarete, bikkuri. Saki ni
cp ask:when cp say:passive surprised beforehand
shitashirabe shite,
investigation do
shinai kara kuukoo made wa 200 baatsu kurai to
downtown from airport to top about cp
shitte ita node meetaa de iku to ittara, takushii
know:was because meter by go cp say:when taxi
wa ok shite kurete, meetaa wa 180 baatsu deshita.
top do give meter top cop:pst
<http://www5a.biglobe.ne.jp/~k_jimbo/2001/thailand>
I wanted to get a taxi in front of Isetan, so I asked the person in charge
of the taxi how much it would cost to the airport. (He) said it would be
400 baht, and I was very surprised. I had done some homework before
(the trip) and knew that it would be about 200 baht, so I asked the taxi
driver if he would use the meter fare. He said OK, and the meter fare
was 180 baht.
Subordination and information status i
In this passage, the speaker, who was traveling in Tailand, is talking about the taxi
fare. Te fact that it should be about 200 baht is what he/she had found out prior
to the trip, and the speaker believes that this information is correct as opposed to
what she was told by the taxi stand attendant. It does not seem that the speaker
feels distanced from what he/she knew prior to the trip. Tere was, on the other
hand, a discrepancy between what he/she had expected and what he/she was told,
and since what he/she knew was the reason why he/she decided to go by meter
rather than by a fxed fee, there is reason why the speaker might feel the need to
assert/highlight (i.e., foreground) what he/she knew--i.e., the taxi fare should be
about 200 baht.
4.3.3 To vs. Koto: Foregrounding/backgrounding efect
My examination shows that to tends to be used with the verbs of knowing where
there is some contrasting information or where the speaker has a need to impress
a particular information on an addressee. Koto, on the other hand, has the efect of
keeping an information in the background, as something expected, predictable, or
taken for granted. What is involved here is not the semantic notion of assertion
vs. presupposition, but rather a more pragmatic one, perhaps similar to what
Lambrecht (1994: 66) calls pragmatic accommodation. Lambrecht talks about
accommodation for presupposition where the speaker/writer can create the pre-
supposition in the hearer/readers mind by using the clause which requires the
presupposition, and thereby making it available as a background for the assertion
in the following main clause. (p. 69) In this sense, koto creates a backgrounding
efect, while to creates a foregrounding efect.
Te following paragraph presents an interesting contrast between the use of to
and koto.
(22) Conscientious railroad crossing
(www2.justnet.ne.jp/~assoonas/OR33.HTML 5/6/02)
Kono shigatsu (Heisei 13 nen) ni tennin ga atte,
Tis April 13th year of Heisei in job transfer nom was
tsuukin keiro ga kawatta no da ga, sono tochuu ni
commuting route nom changed nml cop but that on the way at
juutai ga hidoi fumikiri ga aru.
trafc jam nom bad railroad crossing nom exist
Tis April, I was transferred to another ofce, and now I have to take a
diferent route to my work. On the way, there is a railroad crossing with
frequent trafc jams.
(sentences omitted)
i8 Naomi H. McGloin
ichijikan no uchi ippun teido wa ressha tsuuka
one hour lk within one minute about top train passing
no tame ni shadanki ga oriru no da
for the purpose of crossing gate nom come down nml cop
ga ato no 59fun wa mattaku ressha ga tooranai
but rest lk 59 minutes top at all train nom pass-neg
jikan na no da.
time nml cop
Te crossing gate comes down for one minute per hour so that the train
can pass, but the rest of the hour for 59 minutes, no train passes by.
a Shikashi, mattaku ressha ga konai koto ga wakatte
but (not) at all train nom come:Neg cp nom know
itemo, dooro kootsuuhoo o mamoru to yuu koto ni
be:even if trafc rule acc observe to
naru to, fumikiri no chokuzen de kuruma wa
become when crossing lk before at car top
ichiji teishi o shinakereba naranai.
momentary stop acc do:have to
But, even if we know that the train is not coming, we have to make
a stop in order to observe the trafc rules.
(sentences omitted)
Sokode, fumikiri o tsuukasuru kuruma wa, ressha
So, crossing acc pass through car top train
ga konai
nom come:neg
b koto ga wakatte iru jikantai demo majimeni
cp nom know be time even conscientiously
ichijiteishi o suru node, onozuto kuruma no nagare
stop acc do because naturally car lk fow
ga waruku naru.
nom bad become
Terefore, cars which pass through the crossing make a stop even
during the time when we know that the train does not pass. Hence,
naturally, the cars get backed up.
(sentences omitted)
c Ressha ga konai to wakatte iru jikan ni wa ichijiteishi
train nom com-neg cp know be time at top stop
o shinaide toorinukeru no ga gooriteki
acc without doing pass through nml nom reasonable
Subordination and information status i
da to omou shi, soo sureba juutai ga okiru
cop cp think and so do:if trafc jam nom happen
koto ga nai.
that nom not exist
I think its more reasonable to cross the railroad tracks without
making a stop when we know that the train is not coming. If we do
that, there wont be any trafc jam.
(omission)
d Ressha ga konai to wakatte iru jikan ni wa,
train nom come:neg cp know be time at top
jooji aoiro ni shite, kuruma ga teishi shinaide
always green dat do car nom stop without doing
toorinukerareru yoo ni shite oki, ressha ga tooru
pass through:can dat do train nom pass
toki dake kishingoo akashingoo ni sureba yoi no dearu.
time only yellow light red light do:if good nml cop
When we know the trains are not coming, we should keep the light
green all the time so that cars can pass through without making a
stop. It should be fne to change the light to yellow or red only when
the trains pass through.
In this passage, the writer talks about the railroad crossing where cars have to
come to a complete stop, thereby contributing to the backup of cars. Te writer
thinks it unreasonable that cars are required to come to a complete stop every time
they pass through this crossing, since the trains pass by only once every hour. In
this passage, the same phrase meaning we know that the train does not pass by is
used four times. In the frst two instances (arrows a and b), koto is used as in ressha
ga konai koto ga wakatte iru (one) knows that the train is not coming, while in the
last two instances (c and d), to is used as in ressha ga konai to wakatte iru. It is true
that grammatically both koto and to are acceptable in all four instances, but then
why did the writer choose koto for the frst two instances and to for the last two
instances? Tis must not be simply accidental. I would argue that koto is used in
the frst two instances because the writer is simply stating the fact matter-of-factly,
setting up a stage for what follows (i.e., backgrounding efect obtains). In the last
two instances, on the other hand, the writer is trying to make the point that people
should be allowed not to make a stop during the time period when people know
that the train does not pass by. In other words, the information presented in the
complement clause i.e., that the train does not pass by is crucial for the writers
claim, and hence, the writer needs to impress this piece of information on the
o Naomi H. McGloin
addressee (i.e., foregrounding efect obtains). I would argue that this subtle psy-
chological attitude is refected in the use of to and koto.
Sunakawa (1988, 1989) argues that to, being a quotation marker, introduces
the dual places the quoting itself and the quoted event. In case of verbs of judg-
ment, what is quoted is the speakers own thought. Because of this dual nature, to
can present the event as a proposition which is experienced by the subject at the
moment of thought. Koto, on the other hand, does not have this dual nature, and
thus can only present an event that the quoter has objectifed and conceptual-
ized. (Maynard 1996: 208) I believe this is why to can infuse the speakers subjec-
tive stance, thereby emphatically present (i.e., foreground) an information.
5. Conclusion
We started this investigation with the idea that main clauses code foreground
information (or express a main assertion) while subordinate clauses code back-
ground information (or less profled information). Our examination of some
Japanese subordinate clauses has shown that this is not always the case subordi-
nate clauses do code more important foreground information. Tis supports recent
fndings which question the categorical distinction between main vs. subordinate
clauses and, consequently, the idea that subordinate clauses are also subordinate
or secondary in importance to the main clause (Haiman & Tompson 1984;
Tompson & Mulac 1991; Englebretson 2003; Tompson 2002).
An examination of subordinate clauses in Japanese, moreover, has shown that
the subordinate clause is not by any means a unitary category, but that subordinate
clauses display difering degrees of subordination. Te correlation between inde-
pendence of clauses and information status still seems to hold with respect to the
degree of subordination the more independent clauses are, the more foreground-
ing efect it projects. It was shown that, between the two complementizers in
Japanese to and koto, to complement clause shows less degree of subordination
(or greater independence) and it has a foregrounding efect, while the koto clause
with a greater degree of subordination shows a backgrounding efect.
It has been pointed out that the meanings and functions of the complemen-
tizer to has a lot to do with the fact that it also serves as a quotation marker (Hayashi
1997; Maynard 1986; Suzuki 2001). In the past studies, however, this fact has been
used to argue that to clauses introduce psychological distance because the quoted
information is ascribed to someone other than the speaker. Suzuki (2001: 44), for
example, states, Tis grammatical non-incorporation refects the psychological
distance (i.e., psychological non-incorporation) that the speaker feels toward the
information in the to-complement. Along a similar line, Hayashi (1997: 580)
Subordination and information status :
proposes that the core function of to is invoking dual voice in the utterance and
shifing authority and responsibility for the proposition from the speaker who ut-
ters it. Tese characterizations of to miss the point that a quoted utterance can also
be the speakers own voice, for which the speaker takes full responsibility. Trough
examination of to and koto where they are interchangeable, I have argued that to
has an opposite efect to distancing. By choosing to, the speaker can inject his/her
strong subjective stance and this results in foregrounding information as central or
important to the development of his/her point/theme.
So, what does this study say about the nature of Japanese grammar and gram-
mar in general? I would like to ofer four observations.
1. Tis study ofers an additional piece of evidence for the non-discrete nature of
linguistic categories. It shows that not only the demarcation between main and
subordinate clauses is non-discrete, subordinate clauses themselves are not
unitary in nature. (cf. Okamoto & Ono 2008.)
2. Recent studies in discourse and conversation have clearly shown that there is
a great deal of diference between our conception of grammar and the way we
actually talk. Te traditional concept of sentence, for example, has been ques-
tioned because speakers do not generally talk in full sentences consisting of a
subject, an object and a predicate (Du Bois 1987; Ono & Tompson 1996;
Tompson & Hopper 2001; Iwasaki & Ono 2002, just to mention a few). While
I fully agree with the importance of looking at a particular construction in
context, this primacy of spoken data (or conversational data) might be prob-
lematic. Te complementizer to is a case in point. Although I knew that speak-
ers use the complementizer to with semifactive verbs, I was not able to fnd
any example in the many conversation data I had. I once heard an example of
it, but this was not part of the recorded conversations. Te google search, on
the other hand, yielded a large amount of examples. So, the data used in this
study were all from written discourse. Te question, then, is: are there two
grammars grammar of written (Japanese) language and grammar of spoken
(Japanese) language? Are the fndings of the present study pertinent only to
the grammar of written Japanese?
3. Related to the above question is the speakers intuition vs. what they actually
do. Te native speakers of the language can make reliable judgments about
many constructions they rarely hear or utter. For example, the speaker prob-
ably rarely hears a sentence such as Hanako ga yatta to hayagatenshita. (I mis-
understood that Hanako did it), but a native speaker has no problem telling
that, with this verb, to is fne but not koto. Native speakers intuition has to be
part of our knowledge of grammar. As Newmeyer (2003: 692) puts it, ...there
is a lot more to grammar than can be predicted from use in naturally occur-
ring discourse.
i Naomi H. McGloin
4. Lastly, Japanese is the language where the speaker/writers subjective attitudes/
stance are grammaticalized in various forms, such as sentence-fnal particles,
conjunctions, conditionals, etc. (Akatsuka 1985; Iwasaki 1993; McGloin 1977,
among others.) A connective noni although is more subjective while keredo
but is more objective, loosely speaking. Te complementizer to, then, in a
way, expresses the speaker/writers subjective stance, while koto indicates an
objective stance. It seems to me that any grammar of Japanese would have to
be able to account for the subjective/objective dichotomy, which seems to cut
across a broad spectrum of phenomena in Japanese.
List of abbreviations
ACC Accusative NML Nominalizer
CP Complementizer NOM Nominative
COP Copula PST Past
DAT Dative Q Question
FP Final Particle QT Quotation
LK Linking Nominal TOP Topic marker
NEG Negative
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On state of mind and grammatical forms
from functional perspectives
Te case for Garu and Te-iru
Yuki Johnson
Te basic usages of the auxiliary verbs ~garu and ~(te)iru are generally
understood as expressing desire and thoughts other than those of the speaker
him/herself. A proposition accompanying~garu and ~(te)iru is ofen used with
a modal, such as mitai, rashii, etc.; therefore, it belongs to the territory of the
speaker domain. However, the proposition concerns another individuals feelings
that the speaker cannot perceive directly and is not an exclusive possession of
the speaker. Using real-life usages that incorporate the notion of territory of
information proposed by Kamio (1990) and the notion of empathy, by Kuno
(1998), it is found that issues of hierarchy and empathy are deeply intertwined
in their use in authentic communication and do not necessarily follow the
description of standard grammar.
1. Introduction
Te current tendency in language research is toward a usage-based approach that
emphasizes the importance of authentic utterances. Some practitioners of such an
approach believe that grammar itself carries little relation to the proposition-like
structures presented by formal linguists, who instead take the approach that sen-
tences are structured according to propositions, verbs with predicates, and noun
phrases with logical arguments. As described in Newmeyer (2003: 685), we rarely
utter sentences comprising a subject, an object, and a verb, even though that is
what grammars generate. Terefore, usage-based models argue that if real speech
is not propositional, then neither should grammars be.
In opposition to this premise, Newmeyer (2003) provides a variety of evidence
to support the idea that mental grammar contributes to language use, but that
usage does not necessarily refect the grammar itself. While acknowledging a
great disparity between sentences that grammars generate and a speakers actual
8 Yuki Johnson
utterances, Newmeyer defends the classical position with respect to the relation-
ship between knowledge of language and use of language and challenges that
speakers mentally represent full grammatical structure, however fragmentally
their utterances might be (2003: 682).
As claimed by Chomsky (1965), our oral performance may not be entirely reli-
able in order to derive linguistic principles and parameters as it can be mistake-
ridden, depending on the environment the speaker is in as well as the physical
condition of the speaker. Also, in oral performance in many languages of the world,
word order may become random to a certain degree depending on the mood of the
speaker and the content the speaker tries to convey. Japanese is no exception. A
native speaker of Japanese may utter a sentence with a verb at an initial position
when the speaker wants to quickly convey that s/he is going to Japan next year,
saying iku no, nihon e, rainen, atashi.
1
Tis type of utterance is ofen heard in oral
production, though it does not coincide with the grammatical word order of
Japanese as an SOV language or with the way people tend to express in writing.
It seems hasty to conclude that grammars should not be propositional based
exclusively on the instances of oral production, since our mental activity is not
only represented in oral communication but also in writing, which seems to re-
ceive less attention in a usage-based approach regardless of the fact that both
speaking and writing are productive skills. Unless a direct quote, a sentence such
as iku no, nihon e, rainen, atashi is seldom produced; instead, atashi, rainen nihon
e iku no may be considered an appropriate production in writing. Tus, it should
be understood that usage in oral communication is ultimately derived from the
same mental grammar as closely represented in written materials.
Tis article considers the disparity seen in current linguistic research, with spe-
cifc examination of spoken and written Japanese to uncover the nonsyntactic factors
that afect usage, taking two grammatical patterns garu and te-iru as particular
cases. Te examination is an attempt to bring together the respective grammar and
uses in a more comprehensive manner to bridge the gap between them. While the
points made by Newmeyer (2003) are pertinent, a suggestion here is that grammar
1. Te gloss of this sentence is:
Iku no, nihon e, rainen atashi.
Go-aux Japan loc next year I
I am going to Japan next year, Im telling you.
Grammatical abbreviations used in this article are: ACC accusative case; AUX auxiliary
(modal auxiliaries and auxiliary verbs); CNT contrastive marker; COMP sentential comple-
mentizer; COP copula; GEN genitive case; LOC locative case; NEG negative morpheme;
NOM nominative case; PART sentential particle; PASS passive afx; PST past tense afx;
PERF perfect afx; PROG progressive afx (te-iru can be used to express either PERF or
PROG); and TOP topic marker.
On state of mind and grammatical forms from functional perspectives
and usage should not exhibit a complete disparity, but that grammar can be reexam-
ined and reviewed based on usages in order to communicate sensibly and compre-
hensibly, since both are afer all concerned with our mental activities.
Te data regarding the use of the auxiliary verbs, garu and te-iru were col-
lected from various sources, including day-to-day oral communications and writ-
ten documents (e-mail communication) gathered over the last two years. Also,
each collected sentence was verifed with native speakers of Japanese for its appro-
priateness to avoid single-handed intuitive judgment of the author. Whenever the
use of garu and te-iru were acknowledged in oral communication or pseudo-oral
communication
2
in e-mail exchange (considering both formal and informal cas-
es), uttered sentences were recorded with a note that explains the situations in
which garu and te-iru were used. A total of 199 sentences were recorded and ex-
amined with regard to their use in oral communication, including 61 garu sen-
tences and 41 tai sentences (without the use of garu) and 97 te-iru sentences. Each
was compared with the formal descriptions of the use of garu and te-iru that ap-
pear in grammar reference books and language textbooks. Please refer to the data
in the appendix appearing at the end of the chapter.
2. Grammar and usage of garu and te-iru
2.1 Garu
In most language texts and reference books,
3
the auxiliary verb garu is explained
as a constituent that is used when describing a third individuals state of mind
(specifcally, desire) as opposed to the speakers own emotional state. Since one
cannot make a direct observation or participate in someone elses emotional state,
garu is attached as a grammatical device to the root of an adjective, expressing
meanings such as (someone/something) has the appearance of or (someone/
something) appears to be. For this reason, some textbooks explain that garu may
be replaced by the modal auxiliary (hereafer modal) soo (someone/something)
looks like. Also, garu alters the preceding predicate into a transitive verb: nomi-ta-
garu (someone) wants to drink (something) and hoshi-garu (someone) wants
(something) for example, expresses someones future or habitual state of mind. In
2. Tis type of communication is herein provisionally termed pseudo-oral, since in the case
of casual communication via e-mail, language is ofen employed as if talking to a person di-
rectly, rather than in actual formal letter writing.
3. Te books under examination are: Yookoso (Tohsaku, 1999), Genki (Nagano et al, 1999),
Nakama (Makino, Hatasa & Hatasa, 1998), Kiso Nihongo 2 (Morita, 1980), Japanese: Te Spoken
Language (JSL) (Jorden with Noda, 1987), and Te Dictionary of Japanese Grammar (Makino &
Tsutsui, 1989).
|o Yuki Johnson
order to express a current situation, te-iru, which converts garu into a stative pred-
icate, has to be attached. Please note the following examples.
(1) a. Boku wa atarashii kuruma ga hoshii.
I top new car nom want
I want a new car.
b. Uti no mono ga anata ni aitaga-gatte-(i)ru-n-desu.
my wife nom you dat meet-want-aux-perf-cop
My wife wants to meet you. (JSL: 135)
(2) a. Watashi wa sabishii-desu.
I top lonely-cop
I am lonely.
b. Hayashi san wa sabishi-gatte-imasu.
top lonely-aux-perf
Mr. Hayashi is lonely. (He appears to be lonely.)
(3) a. Watashi wa tempura ga tabe-tai-desu.
I top tempura nom eat-want-cop
I want to eat tempura.
b. Tanaka san wa gohan o tabe-ta-gatte-imasu.
top meal acc eat-want-aux-perf
Ms. Tanaka wants to eat meal. (Nakama: 409)
(4) a. Boku wa rainen nihon e iki
4
-tai-desu.
I top next year Japan loc go-want-cop
I want to go to Japan next year.
?
b. Boku no tomodachi wa rainen nihon e iki-ta-gatte-iru.
I gen friend top next year Japan loc go-want-aux-perf
My friend wants to go to Japan next year.
c. Boku no tomodachi wa rainen ninon e iki-tai.
I gen friend top next year Japan loc go-want
to itte-iru.
comp say-prog
My friend says, I want to go to Japan next year.
Considering the subject in each of the above sentences (other than watashi and
boku I), tsuma wife, Hayashi-san Mr. Hayashi, Tanaka-san Mr. Tanaka, boku no
4. In fact, the morpheme boundary should be shown as ik-i-tai want to go in which case a
consonant verb is used to indicate the stem of the verb ik-. However, in order to avoid having many
English glosses and due to limited space, the Japanese syllabary system is used to create a bound-
ary. Tis is the reason for the desiderative form tai follows iki-tai and tabe-tai in this paper.
On state of mind and grammatical forms from functional perspectives |:
tomodachi my friend are all other individuals; therefore, garu should be employed
according to standard grammar.
5
However, as can be detected in the data (in the
appendix at the end of the article), it is noticeable that native speakers of Japanese
seldom utter these sentences and that the defnition someone has the appearance
of or someone appears to be does not ft particularly well for sentence (1b), while
it suits sentence (2b) well and (3b) marginally. Sentence (4b) is somewhat awk-
ward regardless of the reasonable-sounding English equivalent. It seems that the
sentence is conveying that the speakers desire will be realized in the next year,
rather than at the present time. Tis may be attributed to the use of the noun
rainen next year (that indicates a temporal distance from the current time) co-
occurring with the current state of mind described by ta-gatte-iru. If the situation
is described using sentence (4c), for example, the awkwardness is removed. Tus,
we realize that for some cases garu may not be appropriate even for describing
another individuals desire. Let us observe some more example sentences.
6
(5) Kodomo wa amai mono o tabe-ta-garu.
kid top sweet thing acc eat-want-aux
Kids want to eat sweets. (Kids love to eat sweets.)
(6) Uchi no ryooshin wa otooto o daigaku ni
my gen parents top brother acc university loc
ire-ta-gatte-iru kedo, otooto wa amerika e
enter-want-aux-perf but brother top America loc
ryuugaku shi-ta-gatte-iru-n-da yo nee.
study abroad-do-want-aux-perf-aux-cop part part
My parents want to let my younger brother go to college, but he wants to
go to America to study, you know.
(7) Cho san, Cheung san to kekkonshi-ta-gatte-(i)ru.
with marry-want-aux-perf
Ms. Cho wants to get married to Mr. Cheung.
(8) Suzuki buchoo, kaisha yame-ta-gatte-(i)ru.
section chief company resign-want-aux-perf
Section Chief Suzuki wants to quit the company.
5. Standard grammar here refers to explanations provided in elementary Japanese textbooks.
Tey normally provide a brief explanation and do not include detailed information on excep-
tional cases and pragmatic uses, but the most basic uses of the grammar pattern.
6. Sentences (5) and (6) are actual utterances drawn from the original data, while (7) to (9) are
modifed by the author for demonstration purposes. Modal auxiliaries, such as mitai looks like
and rashii seems like are removed from the original data for sentences (7) and (8), and a modal
soo looks like is replaced by (ta)-gatte-iru for sentence (9). Te original of sentences (7)(9) in
the data are exhibited in sentences (10)(12) that appear on the following page.
|i Yuki Johnson
(9) Sakai sensei wa nihon e kaeri-ta-gatte-iru.
professor top Japan loc return-want-aux-perf
Professor Sakai wants to go back to Japan.
Sentence (5) is acceptable as it describes a general tendency of kids tastes, not the
state of mind of a person with whom the speaker is personally involved. Many
people fnd sentence (6) also acceptable. Te speaker is referring to his/her own
family members desire, and the use of garu seems perfectly appropriate, as stan-
dard grammar suggests.
A problem may arise with regard to sentences (7)(9). Although they may be
found in written materials, such as a report or journal where the authors relation-
ship with the person in question is neutral, in day-to-day conversation, they may
not be uttered in this type of bare form.
7
Even in casual conversation and even
among young college students, speakers might avoid saying Sakai sensei, nihon e
kaeri-ta-gatte-(i)ru Professor Sakai wants to go back to Japan. Instead, as found in
the data, a sentence with one of the modals is more commonly used. Observe sen-
tences (10)(12), drawn from the original data.
(10) Cho san, Cheung san to kekkonshi-ta-gatte-(i)ru mitai yo.
with marry-want-aux-perf aux part
It looks like Ms. Cho wants to get married to Mr. Cheung, you know?
(11) Suzuki buchoo, kaisha yame-ta-gatte-(i)ru-rashii yo.
section chief company resign-want-aux-perf-aux part
I hear that Section Chief Suzuki wants to quit the company, you know.
(12) Sakai sensei, nihon e kaeri-tai-soo-da yo.
Professor Japan loc return-want-aux-cop part
I hear that Professor Sakai wants to go back to Japan.
Sentences (10)(12), accompanying a modal such as mitai, soo, rashii, or ~n-desu-
tte, are far more frequently uttered than sentences (7)(9). In fact, sentence (12) is
the case where garu does not accompany ta(i), but the use of the modal soo alone
can convey the desire of the third person as a propositional content.
8
Tese modals
are used to refer to visual or sensory evidence and indicate how a speaker obtained
the information (Johnson, 2004, 2008). Soo (also in the form of datte which is a
colloquial equivalent of ~ to kii-ta I heard) and rashii are primarily used when the
7. Bare form herein refers to sentences that do not accompany modal content, such as modal
auxiliaries and sentence fnal particles. Also, in the collected data, the sentences originally all
accompany some type of a modal, such as mitai appears to be and ~desu-tte I hear. Once the
modal is removed, the sentences are all identifed as awkward by native speakers of Japanese.
8. However, it is not that soo is replacing garu. Even if the sentence were to use garu, it may
have been accompanied by some type of a modal.
On state of mind and grammatical forms from functional perspectives |
information is obtained via an outside source, such as hearing, reading, and mitai,
via the speakers visual impression, sensation, and/or supposition.
9
Te frequent
occurrence of these modals demonstrates that the use of garu may be grammati-
cally sufcient, but pragmatically insufcient to diferentiate other individuals
state of mind from the speakers own.
However, as seen in sentence (6), when a sentence is concerned with a family
member, a diferent concept may be employed. Tis observation suggests that the
distinction between the in- and out-group of a speaker may also play a crucial role
that is ultimately concerned with whether or not an emotional and spatio-tempo-
ral distance exists between the speaker and other individuals.
Before further examining the characteristics of this issue, let us explore the
behavior of another auxiliary verb (te)-iru which has a similar function to that
of garu.
2.2 Te-iru
Most textbooks explain that the use of te-iru is required for verbs of mental activi-
ties, such as omou to think, kangaeru to think, and shinjiru to believe, and when a
speaker tries to signal that the thoughts belong to someone other than the speaker
him/herself.
10
Te following are example sentences illustrating the use of omou.
11
9. Several other modals exist, including hazu, ni chigainai, daroo, kamoshire-nai, n(o)-da and
wake-da (Johnson, 2004). Te frst four function diferently from yoo/mitai, soo, and rashii in
that they express the degree of speaker conviction toward the truth or realization of the event
described in the proposition. For example, while Nihon e kaeri-ta-gatte-iru soo-da I hear that (s/
he) wants to go back to Japan means that the speaker tries to convey the proposition as true,
hearsay information, Nihon e kaeri-ta-gatte-iru kamoshire-nai It may be the case that (s/he)
wants to go back to Japan conveys that the speaker is not sure about the truth of the proposition.
Tese modals as well as n(o)-da and wake-da are not subject to examination in this paper. Te
diference between yoo and mitai is not discussed herein. However, mitai is considered an infor-
mal, colloquial equivalent of yoo (Makino & Tsutsui 1986, p.550), and the treatment of mitai
here does not go beyond this observation.
10. It should be mentioned, however, that omou can accompany te-iru when the speakers
thoughts are expressed e.g., Boku wa jibun ga tadashii to omotte-iru Ive been thinking that I
am right. Te diference between omou and omotte-iru used for the thoughts of the speaker
him/herself is that omou gives an impression that the speakers thoughts are grasped as a whole
equivalent to I think, while omotte-iru is ofen used to suggest a time expanse between the
time the speaker started to think and the time of speech equivalent to Im thinking/Ive been
thinking that ~. Such observation is supported by the use of an adverb that indicates a duration
of time, such as zutto for a long time. Zutto is awkward in co-occurring with omou, while it is
natural to co-occur with omotte-iru.
11. Te function of omou to think is two-fold, though sometimes difcult to identify a clear
distinction. One function is to express a speakers opinion, indicating this is what I think. In this
|| Yuki Johnson
(13) a. Watashi wa korosa
12
-re-ta hito no otto ga
I top kill-pass-pst person gen husband nom
hannin-da to omoimasu.
murderer-cop comp think
I think that the husband of the woman who was killed is the mur-
derer.
b. Watashi wa korosa-re-ta hito no otto ga
I top kill-pass-pst person gen husband nom
hannin-da to omotte-imasu.
murderer-cop comp think-prog
Im thinking that the husband of the woman who was killed is the
murderer.
(14) *a. Otto wa hannin wa hoka ni iru to omou.
my husband top murderer cnt elsewhere loc exist comp think
My husband thinks that the murderer is someone other than he.
b. Otto wa hannin wa hoka ni
my husband top murderer cnt elsewhere loc
iru to omotte-iru.
exist comp think-perf
My husband thinks that the murderer is someone other than he.
(15) *a. Sun sensei wa josei ga satsujin ni kakawatte-iru
Professor top woman nom murder to relate-perf
to omoimasu.
comp think
Professor Sun thinks that a woman is involved in this murder.
??
b. Sun sensei wa josei ga satsujin ni
Professor top woman nom murder to
kakawatte-iru to omotte-imasu.
relate-perf comp think-perf
Professor Sun thinks that a woman is involved in this murder.
case, omou is ofen added to sofen the tone of the statement and avoid being too straightfor-
ward. Te other is to express a speakers supposition, behaving exactly as a modal, such as
kamoshirenai may be and daroo probably. Omou expresses a relatively high level of speaker
conviction regarding the truth or realization of the proposition. Such use of omou is not a sub-
ject of examination in this paper.
12. Please refer to footnote #5 for the reason why the morpheme boundary is inserted this way.
Technically, it should be koros-are-ta.
On state of mind and grammatical forms from functional perspectives |,
As shown in the example sentences, omou to think is appropriate only when used
to describe the speakers own state of mind. Omou can refer to the speakers state
of mind at the time of speech, since the speaker can observe his/her inner feelings
without a monitor or an acquisition device. Omotte-iru thinking also refers to the
speakers state of mind, although te-iru implies and lets one envision a time span
specifcally, from the moment the speaker has decided who the criminal was up
to the time of speech.
13
Terefore, omotte-iru refers to the time expanse during
which the speaker has been thinking.
For other individuals state of mind, as seen in grammar explanation, only
omotte-iru may be employed. Tis is due to the fact that the speaker cannot ob-
serve another individuals mental activity internally at the time of speech, as oth-
ers thoughts do not directly belong to the speakers mind. In order to learn and
understand what is in another individuals mind, it requires a learning process and
time to acquire the thoughts, which in the end creates a spatio-temporal distance
between the speaker and the other individual. Tus, te-iru itself involves duration
of time to process the information, and only te-iru can be used to describe another
individuals state of mind.
Tis observation is perfectly applicable in sentence (14b) when the speakers
family members thought is in question. However, actual use of the language seems
to be a bit diferent when concerned with individuals who have distance from the
speaker in terms of social rankings. For example, sentence (15b) is a grammatical
sentence with the appropriate use of te-iru. Nonetheless, most native speakers of
Japanese claim that this kind of sentence sounds strange and is seldom uttered,
unless as a reportive-style narrative. Sentence (15b) may sound like a public an-
nouncement. Or, in this case, if omotte-imasu is thinking is used without accom-
panying any element, the speaker appears to be either very close to the individual
or acting as a spokesman. In natural communication, the sentence does not end
with te-iru but with some type of a modal. Please observe example sentences (16):
(16) a. Sun sensei wa josei ga satsujin ni kakawatte-iru to
professor top woman nom murder to related-perf comp
omotte-(i)ru-n-desu-tte.
think-perf-aux-cop-comp
I hear that Dr. Sun thinks that a woman is involved in this murder.
b. Nara sensei wa otto ga yat-ta tte
professor top husband nom murder-pst comp
shinjite-(i)ru mitai.
Believe-perf aux
It looks like Professor Nara believes that the husband is the murderer.
13. For further explanation of te-iru, please refer to Johnson (2004).
|o Yuki Johnson
c. Lee sensei wa otto wa mujitsu-da-tte
professor top husband cnt innocent-cop-comp
omotte-(i)ru-n-da-tte.
think-perf-aux-cop-comp
I heard that Professor Lee thinks that the husband is innocent.
A common feature seen in the attachment of a modal as a device is to exhibit a
certain relationship between the speaker and the individual in question. By attach-
ing a modal -tte (a semantic equivalent to hearsay soo), for example, the speaker
makes it clear that s/he cannot directly perceive the other individuals mind, but
the information was somehow obtained through some unspecifed method.
Compared to this phenomenon, when the speaker represents his/her family
members thoughts, the use of a modal may become somewhat loose. Te speaker
may convey her husbands thoughts as if they belong to the speaker herself. Tis
can be extended to people whom the speaker thinks very close as family mem-
bers and the use of a modal becomes the personal preference. However, the point
here is that the speaker can represent a family members thoughts without any
device simply omotte-iru is acceptable.
2.3 Te commonality of garu and te-iru
We have seen a common characteristic in the use of garu and te-iru. Tat is, it is
not necessarily that garu and te-iru ought to be used when desire and thoughts
belong to someone other than the speaker him/herself. While grammatical, the
use of garu and te-iru is not sufcient to describe the situation through the eyes of
the speaker. Speakers tend to use extra devices to convey the information in actual
communication, namely the use of a modal, such as yoo, soo, and rashii. Whether
or not the device is needed seems to depend on the relationship between the
speaker and the referent i.e., whether the speaker considers the referent to be-
long to the speakers group, mentally, emotionally, and socially.
3. Teoretical justifcation
Considering all aspects, the phenomenon mentioned in the previous section can
be explained from the concept of point-of-view which Kuno (1997) discusses
under the framework of empathy perspective. According to Kuno, empathy is the
speakers identifcation, which may vary in degree, with a person/thing that par-
ticipates in the event or state that he describes in a sentence (1997: 206). A high
degree of empathy signifes the speakers total identifcation with the person in
On state of mind and grammatical forms from functional perspectives |
question, and a low degree of empathy signifes the lack of identifcation with the
person in question. Although the concept of empathy discussed by Kuno covers a
much broader range of phenomena, the concept of in- and out-group is in part
integrated in the notion of empathy.
Individuals of the in-group are those to whom the speaker can emotionally
relate and think that the speaker can represent their thoughts or feelings from his
viewpoint and perspectives. Individuals of the out-group are those whom the
speaker identifes at a distance, mentally, emotionally, and spatio-temporally.
Te speaker may not dare to represent their thoughts or feelings as if they belong
to the speaker him/herself.
Ten, how can this phenomenon be justifed in terms of linguistic theory? Part
of a Teory of Territory of Information proposed by Kamio (1990) helps to clari-
fy this inquiry.
Kamios (1990, 1994, 1997a, 1997b) theory of territory of information argues
that language use depends on the territory to which information described by a
sentence belongs. In this theory, whether or not a speaker/interlocutor possesses
a given piece of information (i.e., whether s/he knows it or not) is clearly distin-
guished from whether a piece of information belongs to his/her territory. Kamio
used the terms direct form and non-direct form for such distinction. He hy-
pothesized that the direct form is used when the speaker has adequate evidence
for an assertion and is appropriate when the information the form expresses is
deep within the speakers territory of the information, whereas the non-direct
form is used when the speakers evidence is insufcient and is appropriate when
the information falls less deeply within the speakers territory or even outside it
(1997: 146).
In short, direct form signals that the piece of information is dominated
by the speaker, while the non-direct form does not create such an implication.
Please observe sentences (17) and (18) which represent the direct and non-direct
form, respectively.
(17) Toronto no natsu wa totemo atsui-desu.
gen summer top very hot-cop
Summer in Toronto is very hot.
(18) Toronto no natsu wa totemo atsui rashii-desu.
gen summer top very hot aux-cop
I hear that summer in Toronto is very hot.
In sentence (17), the speaker possesses the piece of information and can legiti-
mately use the direct-form to represent the information regarding Torontos weath-
er. If the speaker does not possess such information, the speaker cannot use the
direct-form to convey the information, but must use a sentence ending with a form
|8 Yuki Johnson
that signals that the information does not belong to his/her territory. Tis case is
exemplifed by sentence (18). Tis distinction also corresponds to propositional
content and modal content. An exclusive piece of information that the speaker pos-
sesses is represented in a proposition while the fact that the speaker does not pos-
sess the information is represented by the use of a modal following a proposition.
Kamio (1997a, 1997b) also states that since the direct form a proposition
carries in part the notion that the information is dominated by the speaker, it gen-
erally creates a rather arrogant atmosphere which is not well accepted in society.
Speakers try to adopt various devices to avoid creating such connotation by using
modal auxiliaries, such as deshoo, mitai, yoo, rashii and sentence fnal particles.
When examining garu and te-iru sentences in terms of the dichotomy of prop-
ositional content and modal content, we realize that both types of sentences are
propositions, which means that, based on Kamios theory, the sentences describing
another individuals state of mind exclusively belong to the speaker. Please observe
examples (19) and (20).
(19) a. Otooto wa sony no furatto terebi o kai-ta-gatte-iru.
my brother top sony gen fat tv acc buy-want-aux-perf
My brother wants to buy a Sony fat TV.
b. Sensei wa sony no furatto terebi o kai-ta-gatte-iru.
teacher top sony gen fat tv acc buy-want-aux-perf
Our teacher wants to buy a Sony fat TV.
(20) a. Otooto wa terebi wa sonii ga ichiban ii to omotte-iru.
my brother top tv cnt Sony nom best comp think-perf
My brother thinks that Sony is the best kind of TV.
b. Sensei wa terebi wa sonii ga ichiban ii to omotte-iru.
teacher top tv cnt Sony nom best comp think-perf
Our teacher thinks that Sony is the best kind of TV.
Sentences in (19) and (20) are all propositions, and the information is supposed to
be dominated by the speaker. However, the content is concerned with another in-
dividuals state of mind. An apprehensive feeling regarding the use of propositions
like (19b) and (20b) must be created by the confict between the type of the sen-
tence and the content of the proposition, and the speaker is urged to use a device
to remove this confict namely, modal auxiliaries.
On the other hand, the apprehensive feeling may not occur when the speaker
refers to his/her own family members state of mind, which shows that interper-
sonal and intercommunity relationship plays a crucial role. Here, we see some
commonality between the territory of information perspective and the empathy
perspective demonstrating that the notion of empathy and in-group and
On state of mind and grammatical forms from functional perspectives |
out-group are deeply related to each other and frmly rooted in the Japanese mind.
Who belongs to the in- or out- depends on the speakers relationship with the
individual, but social hierarchy also determines the language use.
Tis statement in itself is nothing new. However, close examination of the
use of garu and te-iru is another testimonial to the aptness of the acknowledged
account.
Te following is a rough visualization of the examinations of garu and te-iru
herein presented with some representative examples.
Garu and te-iru are grammatical constituents that are used to describe a state
of mind that belongs to an individual other than the speaker. For elementary to
intermediate-level learners, this broad description should be sufcient. Nonethe-
less, actual use of these constituents is, in fact, more complicated, involving
concepts that are crucial to the individuals who speak the language namely the
concepts of in-group and out-group intertwined with the concept of empathy
perspective. Individuals whom the speaker considers in-group are those to whom
the speaker is strongly attached in terms of empathy (an understanding and feel-
ing of connectedness), while individuals whom the speaker considers out-group
are those with whom the speaker fnds a lack of identifcation. Te use of garu and
te-iru alone is ofen seen to describe the state of mind belonging to individuals of
the in-group. On the other hand, for individuals of the out-group, in order to
avoid the seeming domination of their state of mind, additional devices, such as a
modal, are frequently employed.
Conceptually
In-group
Tabe-tagatte
-iru
Tabe-tai rashii
Tabe-ta-gatte
-iru soo-da
Tabe-tai
to omotte-iru
rashii
Tabe-tai
to omotte-iru
n-desu-tte
Degree of empathy
High to low
I
Tabe-tai
to omou
Conceptually
Out-group
~Tabe-tai
to omotte-iru
Figure 1.
,o Yuki Johnson
4. Concluding remarks
Tis article examines the description of standard grammar and the actual use of
the auxiliary verbs garu and te-iru, bringing together the respective grammar and
usages in a more comprehensive manner to bridge the gap between them.
14
Although the basic usages of garu and te-iru are to express desire and thoughts
other than those of the speaker him/herself, it is found that issues of hierarchy and
empathy are deeply intertwined in their use in authentic communication and do
not necessarily follow the standard grammar. Even for a second or third person,
they may not be used alone without accompanying a modal, such as mitai, soo, or
rashii. Furthermore, garu and te-iru both fall in the domain of proposition struc-
turally; therefore, they belong to the territory of the speaker domain, but not quite
as an exclusive possession of the speaker due to the nature of the information
that is, another individuals feelings and thoughts which the speaker cannot per-
ceive directly.
Tus, starting from the basic description of garu and te-iru, this work extends
the discussion to include real-life usages incorporating the notion of the territory
of information proposed by Kamio (1990) so that their functions are more accu-
rately described and understood.
Observing the actual use of language is crucial to understanding how we
think and process information. Just as crucial is to incorporate the actual use of
language into existing grammars to reveal the appropriateness or insufciency
found therein. Te statement made by Newmeyer (2003) that grammar is gram-
mar and usage is usage is agreeable. However, having these two perspectives and
familiarizing ourselves with the kind of discourse factors that interact with syn-
tax, we can attain an important merit that is to protect us from making a narrow
syntactic generalization.
Te results indicate that the formal description of these grammatical patterns
does not precisely refect their use, but provides merely a basic description of
their functions. Te results thus fll a gap between the formal description of gram-
mar and the actual use of these grammatical patterns derived from actual use of
the language.
14. Te fndings of the research done for these grammatical items are well incorporated in the
Fundamentals of Japanese Grammar (Johnson, forthcoming).
On state of mind and grammatical forms from functional perspectives ,:
Appendix
Garu + Modal (a total of 61 sentences)
Modal In-group Out-group Total
3 (60%) 2 (40%) 5
-ta-gatte-iru-n-desu-tte/dat-te 3 (12%) 21 (87.5%) 24
-ta-gatte-iru soo 1 (7.6%) 12 (92.3%) 13
-ta-gatte-iru mitai 4 (44.4%) 5 (55.5%) 9
-ta-gatte-iru rashii 0 3 (100%) 3
-ta-gatte-iru tte itte-ta-yo 0 3 (100%) 3
-ta-gatte-iru tte kii-ta 0 3 (100%) 3
-ta-gatte-iru yoo 0 2 (100%) 2
Total 11 (18%) 50 (82%) 61
In-Group means that the speaker refers to a desire of a person who is considered to belong to the
speakers group conceptually.
Out-Group means the opposite of in-group.
E.g.: Nihonjin tte gaikoku ni kite-mo, suguni nihonshoku tabe-ta-garu yo ne. When Japanese come to a
foreign country, they immediately want to eat Japanese food, dont they?
Tai + Modal (a total of 41 sentences)
Cases where the use of garu is avoided and a modal may be added
Modal In-Group Out-Group Total
7 (100%) 0 7
-tai-n-desu-tte/dat-te 0 10 (100%) 10
-tai soo 2 (28.5%) 5 (71.5%) 7
-tai mitai 4 (30.7%) 9 (69.3%) 13
-tai rashii 0 4 (100%) 4
Total 13 (31.7%) 28 (68.3%) 41
E.g.: Ano hito wa ne, kirei na hito to kekkonshi-tai no. My brother wants to get married to a pretty
woman.
Te-iru (a total of 97 sentences)
Modal In-group Out-group Total
4 (66.6%) 2 (33.4%) 6
-te-iru mitai 13 (35.1%) 24 (64.9%) 37
-te-iru-n-desu-tte/da-tte 1 (5.5%) 21 (95.5%) 22
-te-iru soo 0 16 (100%) 16
-te-iru rashii 0 8 (100%) 8
-te-iru-tte itte-ta-yo 0 4 (100%) 4
-te-iru yoo 1 (25%) 3 (75%) 4
Total 19 (19.5%) 78 (80.5%) 97
,i Yuki Johnson
Samples
Samples 1, 2, and 3 are partial conversations/utterances recorded in casual daily
conversation.
[Sample 1]
Te following sample exhibits a case where both yame-ta-gatte-iru wants to quit
and yame-tai wants to quit accompany a modal. Te communication is exchanged
between a 29 year-old male and a 32 year-old female who work at a Japanese mo-
tor company in Tokyo.
A: Suzuki buchoo, kaisha, yame-ta-gatte-(i)ru-rashii yo.
section chief company resign-want-aux-perf-aux part
I hear that Section Chief Suzuki wants to quit the company, you
know.
B: Un, atashi mo uwasa kii-ta. Yame-tai-mitai ne.
Yes I too rumor hear-pst quit-want-aux part
Yes, I heard the rumor too. It looks like he wants to quit. I feel bad for
him...
[Sample 2]
Te following sample is one of the cases where a 35 year-old female in Tokyo talks
about her own mothers thoughts without using any modals.
A: Uchi no haha sa, Ken no koto seijitsu-da to
my gen mother part gen about sincere-cop comp
omotte-(i)ru kara, shinpai ira-nai yo.
think-perf so worry need-neg part
Since my mother thinks that Ken is sincere, there is no need to worry.
[Sample 3]
Te following sample is a case where a Japanese male college student in Toronto
makes a declarative statement regarding a thought of his professor. It was uttered
in a very casual situation where three other students were talking about the grade
they received.
A: Ano sensei, ore no koto zettai ni baka-da to omotte-(i)ru.
that teacher I gen about defnitely stupid-cop comp think-perf
Tat teacher defnitely thinks that I am stupid.
On state of mind and grammatical forms from functional perspectives ,
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Mifin.
Makino, Seichi & Tsutsui, Michio. 1989. A Dictionary of Basic Japanese Grammar. Tokyo: Japan
Times.
Morita, Yoshiyuki. 1980. Kiso Nihongo 2. Tokyo: Taishukan.
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DOI: 10.1353/lan.2003.0260
Tohsaku, Yasu-Hiko. 1999. Yookoso, 2nd edn. New York NY: McGraw-Hill College.
Grammar of the internal expressive
sentences in Japanese
Observations and explorations
Shoichi Iwasaki
Internal expressive sentences such as a! itai Oh, it hurts, or aa yokatta Oh,
Im so happy!, reveal directly what the speaker perceives or senses internally,
and contrast sharply with descriptive sentences, such as taroo wa kuma o
uchitometa Taro shot the bear. Tis distinction has been noted in both Japanese
and European languages but has not received much attention in linguistics in
general. Tis paper explores this neglected type of sentence in terms of their
morphosyntactic patterns (co-occurrence with outcry vocalization, such as a!,
aa, waa, restricted predicate forms, the clipped adjective form, and inability to
code an experiencer), semantic primitives labeled as Experience, Stimulus and
Receptor, and extralinguistic factors based on neurological states of perception,
emotion and feeling.
A group of Japanese sentences can be identifed formally by their co-occurrence
possibility with a short outcry vocalization such as a!, aa, or waa, as shown in (1).
(1) a! itai! Ouch!
aa yokatta! Oh, Im so glad!
waa ureshii! Oh, Im so happy!
a! sakana ga shinderu! Oh! A dead fsh!
(cf. * a! kono sakana ga shinderu! Oh! Tis fsh is dead!)
(cf. * a! aru sakana wa sora o toberu! Oh! Some fsh can fy!)
Tese sentences refer to and reveal directly what the speaker perceives or senses
internally, and contrast sharply with descriptive sentences, such as taroo wa kuma
o uchitometa (Taro shot the bear). In this paper, the type of sentences presented in
(1) are referred to as internal expressive sentences (or simply expressive sentenc-
es). Some types of internal expressive sentences have been identifed as Ausdruck
,o Shoichi Iwasaki
(expressions) by Bhler 1933,
1
hyooshutu (revelations) by Sakuma (1967), and
kantan-bun (exclamatory sentences) by Onoe (2001: 168178). Tese categories
constitute a subset of what some other authors call afective or emotive expres-
sions (e.g. Besnier 1990; Maynard 2000, 2002).
2
Traditionally the internal expressive
sentence constitutes part of the minor sentence type along with the impricative
(curse) and optative (Sadock & Zwicky 1985: 1625), and is contrasted with the
major sentence type of the declarative, interrogative and imperative sentences
(Lyons 1977: 745). Linguists mainly concern themselves with the major sentence
types, especially the proposition-making function of the declarative sentences, and
have paid little attention to the other type of sentences including expressive sen-
tences (see relevant comments, among others, in Mio, 2003: 66 [1948], Lyons 1982;
Maynard 2000, 2002, 2007, and Linell 2005: 878). Tis paper, thus, tires to give
due attention to this neglected sentence type, and attempts to provide a framework
to analyze their specifc grammatical patterns. It also proposes that a distinct set of
grammatical patterns found for expressive sentences constitutes a separate system
within a multi-layered grammatical organization of a human language. It should be
noted, however, that much of the discussion presented here is of explorative nature
based on my own observations. Nonetheless, I believe this is a necessary step to-
wards future developments of the neglected area in linguistics.
Te following text is presented in six sections. Section One gives a brief sum-
mary of treatments of expressive sentences in the Japanese scholarship. Section
Two frst contrasts the expressive sentence with the more familiar type of descrip-
tive sentence, then discusses distinct features of the former, and fnally proposes
three semantic primitives necessary for an analysis of expressive sentences. Section
Tree explores the possibility of analyzing expressive sentences in terms of non-
linguistic factors, namely various neurological processes, and delineates grammat-
ical patterns associated with them. Section Four briefy discusses the descriptive
sentence in relation to the expressive sentence, in order to understand the continu-
ous nature between expressive and descriptive sentences. Section Five summarizes
the paper. Section Six discusses a theoretical implication of the current study and
diferent methodologies which may be used to analyze the expressive sentence.
1. See Bednarek (2006) and Innis (1982) for Bhlers theory of linguistics known as the
Organon Model.
2. Maynards emotives (2000, 2002) include a wide range of linguistic phenomena, such as
linguistic devices that describe emotions, linguistic strategies that enact emotional attitude, and
grammatical and rhetorical means which foreground emotive meanings. Other linguists who
have recognized expressive functions in language include Bally (1965 [1925]), Jakobson (1960),
Dong (1971), Lyons (1977: 5056), Ochs & Schiefelin (1989), and Dane (1994).
Grammar of the internal expressive sentences in Japanese ,
1. Japanese scholarship on the internal expressive sentence
Traditional Japanese linguists have shown some interest in expressive and other
related sentences. However, their analyses are not always without difculties. One
common difculty is the strict formal means to identify these sentences. Yamada
(1936: 9356), for example, categorizes a sentence as the kandoo-kantai impres-
sion-expressive style (one type of our expressive sentence) when it takes the form
of vocative expression:
[Modifer Noun (Vocative Particle)]
[utsukushii]
Mod
[hana]
N
([yo])
Prt
beautiful fower Vocative Particle
(What) a beautiful fower!.
3
Tis strict structural defnition, however, assigns a diferent interpretation to two
functionally similar sentences; the sentence; waa! kiree na hana! (wow beautiful
fower) and waa! kono hana kiree! (wow this fower beautiful), though both
have a similar emotive force, must be classifed as completely diferent sentence
types based upon constituent order, frst being a sentence of kandoo-kantai im-
pression-expressive style (our expressive sentence) and the second being a sentence
of juttai subject-predicate sentence (our descriptive sentence) (see Morishige
1971: 257).
Matsushita (1978 [1930]), in his philosophical discussion of sentence types,
identifes the sentences of non-conceptual and conceptual subjective judgment as
well as the sentence of deliberate judgment. Upon feeling a tremor, a speaker may
issue the non-linguistic outcry, a! (a sign of non-conceptual subjective judgment)
or describe it with a one-word expression, jishin! Earthquake! (a sentence of con-
ceptual subjective judgment). However, when jishin is followed by the copula,
jishin da (Its an earthquake!), the sentence is understood to be a sentence of de-
scription, implying deliberate judgment, rather than simply as expressive. Tis is
because, according to Matsushita, it can be related to a more fully specifed and
logically constructed sentence, kore wa jishin da (this is an earthquake). However,
jishin da may in fact be uttered as a response to ones own perception, and in this
case, it is a full, non-abbreviated sentence. Tis type of subjectless sentence is a
hallmark of expressive sentences.
3. In addition to kandoo-kantai, Yamada identifes kiboo-kantai (the optative style), which
takes the form of [NP] + [Optative Particle] with the meaning of I wish for (Noun), e.g. [oizu
shinazu no kusuri] + [moga] How I wish for medicine of longevity and immortality! (Yamada
1954 [1936]: 949). Te optative style can be found in Classical Japanese, but went out of use
alongside the optative particles, such as moga(na). Te optative style and optative particles are
absent from Modern Japanese.
,8 Shoichi Iwasaki
Mio (2003: 66 [1948]) improves on the form-based identifcation of sentence
types by bringing in contextual information in the classifcation of sentence types.
In his analysis, the same surface form may be analyzed diferently, depending on
its relation to the situation of its utterance. For example, in Mios view, jishin da
(earthquake COP) (Earthquake!) could be an underdeveloped sentence (mitenkai-
bun) in the case where a speaker utters it before analyzing the situation, as it de-
picts the speakers surprise at that moment. Alternatively, it may be a partial sen-
tence (bunsetu-bun) when it refers to a part of the complete idea for the situation,
as in the utterance kore wa jishin da (this is an earthquake). Tis analysis can avoid
the problem noted above with respect to Matsushitas analysis. As Mio himself
admits, however, the category of underdeveloped sentences is problematic as it
includes both what Sakuma calls the revelation type (hyooshutsu) which exposes
the speakers inner emotional or cognitive state through such expressions as a!
(oh!), ame da! (its raining!), and the appeal type (uttae) which tries to get others
attention. Te latter category is exemplifed by utterances such as hora! (look!) and
kimi! (you!) (Sakuma 1952: 467)
4
.
Te analysis of expressive sentences presented in this paper expands upon
Mios analysis, by identifying true expressive sentences on the basis of the nature
of what is expressed (i.e. speakers internal, more specifcally their neurological
state) and how it is intended in the process of communication (i.e. not primarily
intended for communication).
2. Te nature of the internal expressive sentence
Tis section outlines the characteristics of expressive sentences as opposed to de-
scription sentence and propose three unique semantic primitives that are relevant
for analysis of expressive sentences.
2.1 Expressive and descriptive sentences
Te internal expressive sentence can be sharply contrasted with the descriptive
sentence. Te distinction corresponds to that between mode pur (the intellectual
mode) and mode vcu (the afective mode) of Bally (1965[1925]). As Maynard
(2002: 26) explains, in expressing the speakers emotional attitude, mode pur ofers
its description, producing a report of ones inner sensations, as in I am getting mad.
Mode vcu, on the other hand, enacts a live performance of the sensation, as in
4. Tese terms are Sakumas translation of Bhlers Ausdruck and Appel (1934), see also Innis
(1982).
Grammar of the internal expressive sentences in Japanese ,
Damn it! Te descriptive sentence can be divided into external descriptive and
internal descriptive sentences. Te external descriptive sentence is a familiar type
of sentence which depicts a situation (an event, state, process, relation, or quality)
that is actually or potentially observable, or objectively verifable, in the external
world (Mary stood up her date, Te boy is growing up, John and I are friends,
Te window is broken. John is tall). Consider the Japanese examples below:
(2)
5
External descriptive
taroo ga kinoo te o kegashita Taro hurt his hand yesterday..
(name) nom yesterday hand acc hurt:past
hanako wa me ga kiree da Hanako has beautiful eyes.
(name) top eye nom beautiful cop
kono suupu wa karai Tis soup is spicy.
this soup top spicy
On the other hand, the internal descriptive sentence describes situations that are
internal to a person and are not directly observable or, in principle, not verifable
from outside. Tis includes mental processes, physical and emotional conditions,
knowledge, and belief, among others (We expect John to win the race, Kim is
angry at Jims sister, It strikes me that John is insincere, I had a bad headache
yesterday). See below for Japanese examples of this type of sentence:
(3) Internal descriptive
taroo ga hannin da to omou (I) think Taro is the culprit.
(name) nom culprit cop qt think:nonpast
koko ga itai-n da yo It hurts here, you see.
here nom painful-se cop pp
hara hetteta-n desu yo (I) was hungry, you know.
stomach decrease:past:asp-se cop pp
suki yo (I) love (you), you know.
like PP
In contrast, internal expressive sentences do not describe, but performs. English
expressive sentences include; Oh, it hurts!, Boy, is he dumb!, and What a beauti-
ful fower!. Notice these sentences exhibit an unconventional use of present tense
form (hurts), word order, and verb-less structure. Japanese expressive sentences
also show distinctive characteristics as discussed shortly, but frst examine some
examples.
5. Te abbreviations used in this paper are: ACC = accusative marker, ASP = aspect, COP =
copula, EXC = exclamation, NOM = nominative marker, NONPAST = non-past, PAST = past,
PP = pragmatic particle, QT = quotative, SE = sentence extender, TOP = topic marker.
oo Shoichi Iwasaki
(4) Internal expressive (see also (1) above)
a! karai! Oh! its hot!
exc spicy
a! kono suupu karai! Oh, this soup is so hot!
exc this soup spicy
a! sakana ga shinde-ru. Oh, a fsh is dead!
exc fsh nom die-asp:nonpast
aa atama ga itai. Oh, I have a headache!
exc head painful
waa. kireena hana. Wow, what a beautiful fower!
exc beautiful fower
As I mentioned at the outset, the expressive sentence is defned by its co-occurring
possibility with a short outcry vocalization such as a!, aa, or waa. In addition to
this, there are other formal characteristics. First, internal expressive sentences can-
not co-occur with the past tense. Tey are ofen appear in the present tense form
(e.g., a karai! Oh, hot! expressing the current experience). When they appear
with the past tense form of an adjective, it has to be interpreted as Perfect (e.g., aa
karakatta Oh, (that) was hot! expressing the experience of the immediate lin-
gering experience), not as Past (*a!/aa kinoo karakatta! Oh, (that) was spicy yes-
terday is not possible.) Tis tense/aspect restriction is a consequence of expressive
sentences being temporally deictic. Second, some of the internal expressive sen-
tences show peculiar morphological contrast between speakers own and others
experience; the form itai painful can be used only for the speakers sensation (ex-
pressive sentences), but has to be modalized for someone elses pain (descriptive
sentence), e.g. ita-soo-da appears to be painful and itagatte iru acting as if pain-
ful. In other words, internal expressive sentences are completely egocentric ex-
pressions that reveal internal experiences of the speaker. Tird, although internal
expressive sentences always involve an experiencer, or a human who undergoes an
internal situation, they never code it expressively (*a! boku ga itai! Oh, I am in
pain); it can only be indexed indirectly through the act of exclamation. Tis is a
crucial diference between the internal expressive sentence, e.g., a! itai! (Ouch!
lit. Painful!), and the internal descriptive sentence, boku mo atama ga itai (I also
have an headache).
Before leaving this section, it is pertinent to mention one other important
characteristic of the expressive sentence; its lack of communication intent. Te
speaker of true internal expressive sentences such as itai! (Ouch!) does not have
an intention to communicate. Tis means that these sentences are sub-vocal, or
inner-speech (Vigotsky 1962) in nature. Once uttered, however, people around
Grammar of the internal expressive sentences in Japanese o:
may respond with, for example, daijoobu? (Are you OK?). Also a speaker may
imitate an internal expressive sentence strategically to perform indirect speech-
acts; they may say urusai! (lit. Its loud!) to make someone turn of the loud mu-
sic. In fact, it is not always easy to separate a true internal expressive sentence
and its strategic use. Tis is due to the more general problem of indirect speech-
acts, or a general lack of one-to-one correspondence between the form and the
speech-act it performs (e.g., Lyons 1977: 745; Irvine 1982; Levinson 1983:
263264; Palmer 1986: 2325).
6
Bednarek, in her critical review of Bhlers
Organon Model, notes, it is not clear to what extent means of Ausdruck are em-
ployed intentionally or subconsciously and to what extent they are conventional-
ized (2006: 146). In this paper the perfomative use of internal expressive sen-
tences will not be discussed further. Te communicative function in language is,
of course, crucial for understanding many aspects of language, but it is possible
that it may be separated from other functions. Internal expressive sentences in
their purest form represent a clear example of non-communication language. As
will be discussed later, descriptive sentences can be also used with or without
communicative intent.
2.2 Tree semantic primitives of an expressive sentence
Descriptive sentences have been traditionally analyzed into a predicate and noun
phrases with semantic roles such as Experiencer Agent, Patient, Teme, and
Instrument. Internal expressive sentences cannot be meaningfully analyzed by
these terms as many of them consist of one word. For an expressive sentence that
consists of two terms, a noun and a verb/adjective, the traditional analysis can be
performed, but will not capture the special nature of expressive sentences; the
descriptive sentence neko ga sakana o tabeteiru the cat is eating the fsh and the
expressive sentence a! neko ga sakana o tabeteru! Oh, a cat is eating a fsh! cannot
be distinguished according to the traditional analysis. I propose in this paper,
therefore, three entirely diferent semantic primitives; Experience, Stimulus,
and Receptor. Tese semantic primitives have been extracted by observing what
type of information appears when an expression contains only one word. In addi-
tion, they have been deduced by our general knowledge of neurological experi-
ences. Sato (2004: 87), for example, describes how humans interpret external
stimulus as follows:
6. Gofman (1983: 78123) maintains that response cries including pain cries have com-
municative intent.
oi Shoichi Iwasaki
Information contained in the stimulus from external world enters the nervous
system through sensory organs such as eyes, ears, skin, tongue, and nose. Te
external information which goes through the sensory organs will be analyzed into
temporal-spacio patterns in terms of impulse that the nervous system can use.
Ten the nervous system analyzes the pattern of impulse into numerous steps and
processes them hierarchically in order to recreate the external image. (translated
and emphasis added by SI)
Experience is the recreated image, or the quality of the internal situation that the
experiencer is currently undergoing, e.g. perception, emotion, or feeling. Stimulus
is something that causes a particular experience. Receptor is a location through
or at which an experience is registered. Tese three primitives appear diferently in
the linguistic expression depending on the exact type of internal situation that is
being expressed.
2.3 Interim summary
Te purpose of the preliminary sections above was to separate expressive sen-
tences from descriptive sentences, and identify their features for further analyses.
Expressive sentences in Japanese are formally characterized by possibility of co-
occurrence with outcry vocalization, use of non-modal form, present tense form,
Perfect aspect form, and inability to code an experiencer. Functionally, they are
sentences of the afective mode (mode vcu) and difer signifcantly from sen-
tences of the intellectual mode (mode pur). Tey reveal speakers internal experi-
ences, such as perception, emotion, and feeling, at the time of the utterance. Tey
are not intended for communication, at least in principle. I suggested three seman-
tic primitives, Experience, Stimulus and Receptor, to analyze expressive sentences.
My suggestion at this point is rather speculative, but it will be given some support
in the subsequent discussion. Also, though we have discussed the notion of the
internal situation that expressive sentences code, this notion is admittedly vague.
Tus, in the next section we reassess the expressive sentence in terms of the notion
of neurological conditions of the speaker that they refer to and the formal charac-
teristics of utterances that express them.
3. Grammar of internal expressive sentences and the neurological processes
In the previous section, some characteristics of internal expressive sentences were
identifed and their three semantic primitives proposed. Tis section delineates
their grammatical system, or how the form is related to what it denotes. For this
purpose, I propose to examine expressive sentences from a rather unconventional
Grammar of the internal expressive sentences in Japanese o
perspective, i.e. distinct neurological states that humans experience such as refex,
perception, emotion and feeling. Tis proposal may sound ad hoc, but as will be
seen, they will provide an important insight how expressive sentences are orga-
nized internally and with each other. It should be pointed out also that the discus-
sion that follows crucially impinges upon the principal of iconicity (Haiman 1985),
which assumes that there are direct correspondences between details of forms and
the complexity of neurological process that they refer to; the simpler the form, the
simpler the neurological process.
Expressive sentences may take either one-term or two-term forms. As noted
earlier in relation to Mios theory of expressive sentences, not all one-term expres-
sions are internal expressive sentences. If a one-term expression such as jishin da
(earthquake COP)
7
is an elliptical sentence related to kore wa jishin da (Tis is an
earthquake), it is a descriptive sentence resulting from the thought process of the
speaker. However, if uttered as a reaction to a tremor a jishin da! (oh earthquake
COP) Oh, earthquake!, it is an expressive sentence. Te diference can be substan-
tiated by an observation that the former can be put into the past tense sentence are
wa jishin datta (Tat was an earthquake), but the latter cannot (*a jishin datta!).
While one-term expressions code one primitive in a single expression (karai!
Hot!), two-term expressions code two primitives. In the expression a kimuchi
karai! (Oh! (this) kimchi is spicy!), both Stimulus kimuchi (kimchi) and Experi-
ence karai (spicy) are expressed. In two-term expressions, the nominative case
particle ga may be present. Te use and non-use of the nominative particle will be
taken up in Section 3.3.1 and 3.3.2 below. Before turning to the discussions of one-
and two-term expressions, however, we must examine carefully what I have been
calling the outcry vocalizations. I will show in the next section that these vocaliza-
tions can be termed refex expressions.
3.1 Refex expression
As a point of departure for the discussion of refex expressions, it is useful to refer
to Nathans description of refex as a neurological phenomenon. According to
Nathan (2004), (a) refex occurs before an individual knows what struck him,
what made him lif a foot or drop an object. It is biologically correct to be alarmed
before one knows the reason. Refex expressions are verbal emulation of an actual
physical refex, a verbal reaction without referring to the cause. Independently
produced outcry expressions such as a!, aa, and waa, are a prima facie example
7. Both jishin! (Earthquake!) and jishin da! (Its an earthquake!) are considered to be one-term
expressions. One-term is, thus, defned either as one word or one word followed by the copula.
o| Shoichi Iwasaki
of verbal refex (cf. Haimans symptomatic gesture
8
). Tese are pre-linguistic ex-
pressions indexing only the existence of the experiencer/speaker, and fail to refer
to any of the three primitives mentioned in Section 2.2. Te refex expressions of-
ten precede an expressive sentence, as shown in many examples to follow, such as
a! itai! (Oh, it hurts!) and waa kiree! (Wow! Beautiful!).
Tere are short and long varieties of the refex gestures a! and (w)aa
9
, respec-
tively. Te former is pronounced with a glottal stop (shown here as an exclamation
point) and indexes an immediate and acute experience, while the latter variety is
pronounced with a long vowel without a glottal stop and indexes a slower and
more prolonged process. To understand the diference, consider the following de-
scription of two neurologically diferent kinds of pain.
When you hit your thumb with (a hammer), a sharp frst pain is felt immedi-
ately, (followed) later by a more prolonged aching, sometimes burning second
pain. (Basbaum & Jessell, 2000: 474)
Te frst pain may be expressed by the short refex gesture and the second pain by
the long variety. It is thus possible to utter a! (frst pain) followed by aa (second
pain) as in a! aa, but it is impossible to reverse the order, *aa. a!.
3.2 One-term expressions
One-term expressions code perception, feeling or emotion. Te grammar asso-
ciated with one-term expressions can be described in terms of three features:
(i) the possibility of clipped form, (ii) the possibility of co-occurring with a short
outcry expression a!, and (iii) the possibility of co-occurring with a long outcry
expression (w)aa.
8. Haiman ofers the following observation: A symptomatic gesture (let us say, a cry of pain
like [aaaa]) accompanies a psychological state. Tat is, originally the gesture connotes the state.
It becomes a signal which still connotes that state once it is recognized and responded to by
some other animal. Finally, it becomes a sign (say, the English word ouch) which denotes the
state only once it is emancipated both from the stimulus which produced it originally, and from
the motivated state of which it served as a signal (1994: 1516) (Italics in original). Tus, only
when a linguistic expression has been freed from the immediate stimulus can it serve as a de-
scriptive sentence.
9. Te two versions of long refex gestures, aa and waa, are not functionally identical. Te lat-
ter variety, waa, seems to appear when the speaker responds to an external Stimulus, and the
former variety, aa, seems to appear when he/she responds to an internal(ized) Stimulus. Tus,
as a response to the pain described in the quotation, waa is not appropriate. Tis matter could
beneft from further investigation.
Grammar of the internal expressive sentences in Japanese o,
3.2.1 Perception expression
In opposition to refex, the neurological process of perception analyzes the input
received at the receptor and transmitted to the central nervous system.
10
Percep-
tion expressions are a linguistic representation of such neurological analysis, and
index either simple Experience, Stimulus, or marginally, Receptor. As Nathan
notes regarding the neurological process of perception, it is only afer the imme-
diate and automatic response that the cerebral cortex is involved and conscious
perception begins (2004). In contrast to refex expressions, perception expres-
sions are genuine linguistic representations of internal states, referring to one of
the three semantic primitives.
Perception expressions that code Experience are mostly adjectives. Among
several related forms, the most compact form is a clipped adjective sometimes
fused with a short refex expression. Te clipped adjective is formed by deleting
the fnal -i from an -i ending adjective, such as in ita-i > ita (painful).
11
An expres-
sion with a clipped adjective may be fused with a refex expression by deleting the
refex expressions fnal glottal stop, e.g. a! ita! > aita!. Tey may be further reduced
by deleting /i/ afer /a/ to ata!. Te fnal two vowels of an adjective, if they are /a/
and /i/, may also be fused as /e/ (ita-i > ite) particularly in male speech. Te two
most representative examples of perception expressions are aita! (painful) and
atsu!
12
(hot). Tese clipped forms may be (partially) reduplicated; aitatata! (for a
general pain), and achichichichi (for a heat pain). Table 1 below, shows this group
of perception expressions.
Tough the numbers of adjectives that take the clipped form with a fused
verbal refex expressions is limited, the number of clipped form adjective may
be on the rise. Tose in Table 2 below may be used by some as perception
expressions.
13
10. In addition to the two types of motor control, refex and reaction via perception, there is a
third type, which is controlled by the brain stem that regulates posture and eye and head move-
ments (Ghez 1991: 5378).
11. Te term clipping usually refers to a morphological process which cuts of part of a word,
e.g. ad clipped from advertisement in English. I am using this term in this paper to refer to the
stem of the i-type adjective. My choice of this word is based on the observation that in a percep-
tion expression, the -i ending form (the full form see below) is basic and the clipped form is
based on this form. Tis is evidenced as all adjectival perception expressions can be formed by
the base form, but only selected ones can be clipped.
12. Since the initial vowel in atsu- (hot) is /a/, the identity of /a/ in atsu! is ambiguous between
the initial vowel of the original adjective and the refex gesture a!.
13. See Sugiura (2005) for more information. Also, those forms in Tables 1 and 2 may have a
long vowel instead of a glottal stop (e.g. amaa (sweet)). Te distinction between ama! and amaa
corresponds to the frst and second types of pain just discussed.
oo Shoichi Iwasaki
Table 1. Perception Expressions of Experience [Clipped Adjective Typical Cases]
Experience Clipped Form English gloss
14
Sensation (a)ita!/(a)ite! /ata!
atsu!/achi!
(a)kayu!/(a)kai!
painful
hot (temperature)
itchy
Table 2. Perception Expressions of Experience: [Clipped Adjective Marginal Cases]
Experience Clipped Form English gloss
Sensation
Gustatory
Olfactory
Visual
Others
a!/(w)aa tsumeta!/
a!/(w)aa tsumete!
a!/(w)aa samu!
a!/(w)aa uma!/ume!
a!/(w)aa mazu!
a!/(w)aa kara!/ kare!
a!/(w)aa ama!
a!/(w)aa niga!
a!/(w)aa suppa!/ suppe!
a!/(w)aa kusa!/
a!/(w)aa kuse!
a!/(w)aa kura!
a!/(w)aa sugo!
a!/(w)aa kowa!
cold (object temp.)
cold (body temp.)
tasty (colloquial)
bad tasting
spicy
sweet
bitter
sour
stinks/smelly
dark
great
scary
A much larger number of perception expressions appear with the full-form adjec-
tive. Some adjectives that appear in Tables 1 and 2 also appear in Table 3.
All the expressions presented in Tables 2/3 can be preceded by a short or long
refex expression.
15
Tus a! itai! refers to the immediate pain and aa itai to a pro-
longed afer-the-efect pain. Perception expressions shown in Table 3 above are
14. I do not provide an approximate or exact translation of the expression in this and other
tables in this paper; for aita! we only give the gloss painful, not a functional equivalent Ouch!
or a more literal translation Oh, its painful! as it is sometimes difcult to give precise equiva-
lents in English.
15. Onoe (2001: 173) notes that adjectives of attribute, such as marui ((be) round), can also be
used in an expressive sentence in a specifc context, as in a! marui! (Oh, its round!). Tis is pos-
sible, for example, when a speaker expects the shape of an object to be square, but has just no-
ticed it is round. Tis latter case belongs to the group of visual Experience in Table (3).
Grammar of the internal expressive sentences in Japanese o
Table 3. Perception Expressions of Simple Experience: [Full Adjective]
Experience Full Form English Gloss
Sensation
Gustatory
Olfactory
Tactile
Auditory
Visual
Others
a!/aa itai!
a!/aa atsui!
a!/aa tsumetai!
a!/aa samui!
a!/aa kayui! a!/aa kaii!
a!/aa karai!
a!/aa oishii!
a!/aa umai!
a!/aa mazui!
a!/aa amai!
a!/aa nigai!
a!/aa suppai!
a!/aa kusai!
a!/aa ii nioi!
a!/aa zarazara!
a!/aa katai!
a!/aa urusai!
a!/aa mabushii!
a!/aa akarui
a!/aa kurai
a!/aa kawaii!
a!/aa kowai!
a!/aa sugoi!
a!/aa abunai!
a!/aa atta!
painful
hot (temp.)
cold (object temp.)
cold (body temp.)
itchy
spicy
tasty
tasty (colloquial)
bad tasting
sweet
bitter
sour
stinks/smelly
fragrant
rough surface
hard
noisy
dazzling
bright
dark
cute
scary
great
dangerous
found it (=Its here!)
mostly adjectives, but also include other types of words such as an onomatopoeia
(zarazara for roughness), a noun modifed by an adjective ii nioi (nice smell), or
a verb for a change of state atta! ((its) here < lit. existed). Tey all refer to a simple
Experience.
One-term perception expressions may also index a simple Stimulus in the
form of [Noun (+Copula)], as shown in Table 4 below. Upon seeing a bug, for ex-
ample, one may utter, a! mushi (da) or aa mushi (da)! (oh, a bug!).
o8 Shoichi Iwasaki
Table 4. Perception Expressions of Simple Stimulus: [Noun (+Copula)]
Stimulus Noun (+Copula) English gloss
a!/aa mushi (da)!
a!/aa ame (da)!
a!/aa jishin (da)!
bug
rain
earthquake
Marginally, a perception expression may index the Receptor, such as a! ashi! (oh!
foot!) when something has happened to ones foot.
16
3.2.2 Emotion and feeling expressions
Emotion and feeling are something that humans experience internally beside
perception. Unlike perception, however, they do not allow the clipped form, e.g.
a! *kuyashi! < kuyashii regrettable. Emotion and feeling are similar to each
other, but are distinguished psychologically and neurologically. Emotions are of-
ten associated with mental states that are impulsive and automatic. A working
defnition of emotion-proper provided by Damasio (2003: 53) includes: (1) An
emotion-proper, such as happiness, sadness, embarrassment, or sympathy, is a
complex collection of chemical and neural responses forming a distinctive pat-
tern. (2) Te responses are produced by the normal brain when it detects an emo-
tionally competent stimulus (an ECS), the object or event whose presence, actual
or in mental recall, triggers the emotion. Te responses are automatic.
17
In con-
trast, feelings are a complex resultant mental state given rise to by emotions and
other factors, and almost always take time to register. A provisional defnition of
feeling given by Damasio (2003: 86) is the perception of a certain state of the
body along with the perception of a certain mode of thinking and of thoughts
with certain themes Te feeling is originated not only from the emotion-proper
but also from any homeostatic reactions, e.g. appetite (Damasio 2003: 85). In
short, while emotion is an automatic response, feeling is a perception originated
by emotion and other reactions.
Te distinction is similar to that between frst and second pains discussed ear-
lier. Tus, I propose that emotion/feeling expressions can be distinguished by the
type of outcry vocalization they co-occur. Tat is, if an expression is preceded by a
short outcry vocalization, it is an emotion expression. If, on the other hand, it is
preceded by a long counterpart, it is a feeling expression. It turns out that only a
16. I reported in Iwasaki (2006) that indicating the Receptor in a one-term expression is more
natural in Korean than in Japanese.
17. Tis type of emotional state is ofen translated as joodoo (emotional movements) in
Japanese.
Grammar of the internal expressive sentences in Japanese o
Table 5. Experience of Emotion and Feeling
18
Experience Form English gloss
Emotion (with a!)/
Feeling (with (w)aa)
Feeling proper
a! /(w)aa kuyashii!
a! /(w)aa yokatta!
a! /(w)aa zannen!
a!/(w)aa natsukashii
a!/(w)aa ureshii
a!/(w)aa tanoshii
a!/(w)aa osoroshii
a! /aa chikushoo!
aa kanashii
aa tsurai
regrettable
(was) good
regrettable
reminiscing
happy
fun
fearful
(Shit!)
sad
hurt/painful (psychologically)
few are clearly feeling expressions, and many can refer to both emotion and feel-
ing. Feeling expressions include aa kanashii sad and aa tsurai hurt/painful
(psychologically). Tese cannot be preceded by a!.
19
On the other hand, expres-
sions like kuyashii regrettable can be preceded by either variety. Like a! itai (frst
pain) and aa itai (second pain), a! kuyashii (emotion) and aa kuyashii (feeling)
refer to the immediate reaction to a stimulus that is considered regrettable and to
the processed reaction to it, respectively.
Emotions are expressed by diferent types of words, but feelings are expressed
only by adjectives. Both emotion and feeling expressions code Experience.
20
3.2.3 An interim summary
Table 6 below summarizes the discussion of refex expressions and other one-term
expressions that code perception, emotion and feeling, as defned by clipping
possibility of adjectives, the co-occurrence possibilities with a!, and with (w)aa!.
18. Notice that most adjectives used for feelings and emotions have the -shii ending. Tis is
not accidental. Adjectives in Classical Japanese are classifed according to their conjugational
patterns into the -ku and -shiku conjugation adjectives, and in general they correspond to objec-
tive (e.g. taka-ku high) and subjective (e.g. kana-shiku sad) adjectives, respectively. Te erst-
while -shiku ending adjectives have become theshii ending adjectives in Modern Japanese.
19. Onoe notes that adjectives of feeling can be used as an emotion expression if the speaker
registers it strongly at a particular moment; a! kanashii! (Oh, Im so sad!) (2001: 173).
20. Tere may be some sentences of feeling that refer to Stimulus, such as a! kono yaroo! (Oh,
Bastard! lit. oh, this guy!). Tis expression, however, may have become conventionalized, and
refers to Experience. Similarly a! ckikusho! in Table (5) originally referred to beasts (Stimulus),
but has become completely conventionalized and code Experience.
o Shoichi Iwasaki
Table 6. A Grid of Quality of Expression
Refex Perception Emotion Feeling
Clipped Adjective NA
Preceded by a! NA + +
Preceded by (w)aa NA + + +
Tis table reveals that the four types of neurological experiences have specifc for-
mal patterns. Refex expressions are pre-linguistic expressions taking the form of
either a! or (w)aa. Emotion and Feeling expressions do not take clipped adjectives,
and both can co-occur with the long refex expression. However, only emotion
expression can take the short variety. Perception expressions may take the clipped
form of adjective and can occur with either type of refex expression. Tus, among
the three linguistic expressions, the perception expression is least restricted, and
can code a variety of semantic primitives. As shown below perception expressions
can be further developed more freely in two-term expression compared to the
emotion/feeling expressions.
3.3 Two-term expressions
Two-term expressions can be classifed formally into two types. In one, the two
terms are connected by the particle ga. Te expression of this type indicates either
a complex Stimulus or Stimulus-with-Experience. Tis type of expansion is avail-
able only for perception expressions. In the other, the two terms are juxtaposed
with each other without the particle. Te expression of this type successively pres-
ents a simple Stimulus/Receptor and Experience.
3.3.1 Complex perception: Expressive sentence with ga
Two-term expressions may be expressions of complex perceptions, consisting of a
noun and a verb/adjective connected by the particle ga of neutral description
(Kuno 1973). From the view of the information structure, these sentences are
those with sentence focus, i.e. the whole of the information is new to the speaker.
Semantically, these sentences do not express a proposition composed of a subject
and the predicate.
Tose in (5) below identify the type of sensation (Experience) as e.g. itai pain-
ful and the location of sensation (Receptor) as, e.g. onaka stomach. Formally, the
two primitives are connected with the particle ga.
Grammar of the internal expressive sentences in Japanese :
(5) Sensation Perception (Complex perception = Receptor + Experience)
aa. onaka ga itai.
exc stomach nom painful
Oh, stomach hurts!
aa. me ga kayui.
exc eye nom itchy
Oh, eyes are itchy!
Other types of perception can be also expanded into a two-term expression with
the particle ga. Note that the pain perceptions in (5) above are preceded by the
refex expression aa, indicating they represent the second phase of perception. In
this case, prefacing with a! will lead to unacceptable expressions. Selection of a! or
aa, however, fuctuates depending on the exact perception involved as shown in
(6) below. In these examples, Stimulus (e.g. kyuuri cucumber) and Experience
(e.g. oishii delicious) are coded in one expression.
(6) (Complex perception = Stimulus + Experience)
a. Gustatory Perception
aa. kyuuri ga oishii!
exc cucumber nom delicious
Oh, a cucumber is delicious! (Delicious cucumber!)
b. Olfactory Perception
aa. happa ga ii nioi!
exc leaf nom good smell
Oh, the leaves smell nice!
c. Auditory Perception
aa. hae ga urusai!
exc fy nom nosy
Oh, a fy is noisy!
d. Tactile Perception
a!/aa. happa ga zarazara!
exc leaf nom rough.surface
Oh, the leaves feel rough!
e. Visual Perception
a!/aa. denki ga mabushii!
exc light nom bright
Oh, the light is bright!
i Shoichi Iwasaki
Comparing the examples in (5) and (6) above, those in (5) are more readily ac-
cepted than those in (6)
21
. Tere are at least two potential reasons for this slight
discrepancy. First, the pain expressions in (5) are far more common to appear in
actual speech than other sensation expressions, and may have become formulaic.
Tat is, those in (5) are familiar enough to be accepted without imagining an ap-
propriate context, while those in (6) require proper contexts to be imagined. Sec-
ond, in the pain expression, both Receptor and Experience exist within a speaker,
making it easier for the two to be bridged, but in other perception expressions,
Experience is internal but Stimulus external, making such cognitive operation
more difcult.
When the two primitives are both external, two-term expressions are also easy
to construct. In Section 3.2.1 it was noted that a one-term perception expression
such as a! mushi! is uttered upon registering a simple Stimulus. When the Stimulus
to be referred to is more complex, grammar codes it as a two-term expression.
Tus, upon seeing a bug (Stimulus) and simultaneously perceiving its condition
(another Stimulus), a speaker may utter a! mushi ga shinderu (A dead bug! < lit.
Oh! A bug is dead). Similarly, upon hearing a bug chirping, a speaker may utter a!
mushi ga naiteru (A bug chirping! < lit. Oh! A bug is chirping). Some examples of
visual perception and auditory perception are provided below in (7) and (8), re-
spectively. Refex markers can be either short or long.
(7) Visual perception (Complex perception = Complex Stimulus = Stimulus +
Stimulus)
a. a!/(w)aa mushi ga shinderu.
exe bug nom dead
Oh, a bug is dead!
b. a!/(w)aa okane ga ochiteru.
exe money nom fallen
Oh, fallen money (on the ground)!
c. a!/(w)aa inu ga hashitteru.
exe dog nom run:asp:npst
Oh, a dog is running/passing by!
d. a!/(w)aa hebi ga detekita.
exe snake nom come.out:pst
Oh, a snake is coming out!
21. According to a small sampling of opinions from eleven native Japanese speakers, both of
the pain perception expressions in (5) are unanimously judged to be acceptable with the long
outcry marker, aa, while judgments vary among other perception expressions in (6).
Grammar of the internal expressive sentences in Japanese
e. a!/(w)aa hoshi ga kiree.
exe star nom beautiful
Wow, the stars are beautiful!
f. a!/(w)aa kao ga akai.
exe face nom red
Oh, (his/your etc.) face is red!
(8) Auditory perception (Complex perception = Complex Stimulus)
a. a!/(w)aa mushi ga naiteru.
exe bug nom cry:asp:nps
Oh, (I hear that) a bug is chirping!
b. a!/(w)aa kaminari ga ochita.
exe thunder nom fall:pasa
Oh, (I hear) thunder!
(upon hearing a loud noise caused by thunder)
c. a!/(w)aa mizu ga nagareteru.
exe water nom fow:asp:nps
Oh, (I hear that) water is fowing!
(upon hearing rather than seeing the fowing water)
According to Kuroda, the above examples are sentences of thetic judgment, which
represent a simple recognition of the existence of an actual situation (Kuroda
1992: 2223).
22
In other words, when the speaker utters these sentences, he per-
ceives the situation as a complex stimulus with no focus on either the entity or its
temporary situation; no part of these sentences has been activated in the mind of
the speaker, both are simultaneously activated on the spot. As said earlier, these
sentences do not express a proposition, which must have a subject and the pred-
icate independently.
3.3.2 Perception of successive simple stimuli: Expressive sentence without ga
We noted earlier that in a sentence of thetic judgment, such as those involving [NP
ga V/Adj.], neither the NP nor the V/Adj. receives saliency, or has been activated
in the mind of the speaker independently. Based on this, it can be predicted that if
the NP is assumed to be activated in the mind of a speaker (Chafe 1976, 1994)
through modifcation with a demonstrative, the sentence will become ungram-
matical. Compare the two sentences taken from (7) and presented again in (9) and
their counterparts with demonstrative modifers in (10) below.
22. Kurodas thetic judgment sentences correspond to Kunos sentence of neutral description
(1973). We can treat all the sentences in (5) through (8) in either of these terms.
| Shoichi Iwasaki
(9) Perception expressions
a!/(w)aa mushi ga shinderu.
exe bug nom dead
Oh, a bug is dead!
a!/(w)aa hoshi ga kiree!
exc star nom beautiful
Wow, the stars are beautiful!
(10) Perception expressions with a demonstrative
23
*a!/(w)aa kono mushi ga shinderu!
exc this bug nom dead
Tis bug is dead!
*a!/(w)aa ano hoshi ga kiree!
exc that star nom beautiful
Tat star is beautiful!
Tose sentences in (10) become acceptable if a!/(w)aa is removed and ga inter-
preted as the particle of exhaustive listing with the meaning, such as kono mushi ga
shinderu (Its this bug thats dead not those others). Tis sentence, however, is no
longer an expressive sentence, but a descriptive sentence.
24
Tis will be discussed
in Section 4 below. More signifcantly for the purpose of the present discussion,
the sentences in (10) become perfectly acceptable as expressive sentences if the
particle ga is removed, as shown in (11).
(11) a!/(w)aa kono mushi __ shinderu!
exc this bug _ dead
Oh, this bug is dead!
a!/(w)aa. ano hoshi __ kiree!
exc that star _ beautiful
Wow, that star is beautiful!
Tis suggests that the sentences in (11) are not integrated thetic judgment sen-
tences, but those that consist of two terms juxtaposed with one another, one refer-
ring to the identity of simple Stimulus (kono mushi (this bug) or ano hoshi (that
23. It is crucial that the modifer is a demonstrative. Since other types of modifers like adjec-
tives and genitival phrases do not specify the modifed nouns as activated concepts, they will not
create ungrammatical sentences with ga such as the following; a! akai mushi ga shinderu (Oh! a
red bug is dead!), a! boku no mushi ga shinderu (Oh! my bug is dead!), and, a! Kimi-chan no
mushi ga shinderu (Oh! Kimmys bug is dead!).
24. Note that the two functions of ga which Kuno identifes (1973), the neutral description and
the exhaustive listing, are now defned by a distinction between two sentence types.
Grammar of the internal expressive sentences in Japanese ,
star)) and another referring to its state (shinderu (is dead) or kiree (is beautiful)).
In other words, the sentences in (11) depict two simple stimuli in succession. It
should be pointed out that emotion and feeling expressions cannot be turned into
a thetic judgment sentence, but it can be turned into the type represented by (11);
a! kono ongaku _ natsukashii! Oh, this music conjures old memories!)
Finally, it should be noted that ga in all examples in (5) and (6) can be omitted.
In some cases, acceptability will increase by removing the particle. According to the
proposal above, there is a certain diference between the versions with and without
ga. Compare (12a) and (12b). Te former represents an instantaneous expres-
sion of a cucumber being delicious (Delicious cucumber!), while the latter
separately codes the cucumber (external Stimulus) and registering as delicious
(internal Experience). In other words, (12b) is synonymous with (12c).
25
(12) a. a!/aa kyuuri ga oishii! (cf. (6))
exc cucumber nom delicious
Oh, a cucumber is delicious! (Delicious cucumber!)
b. a!/aa kyuuri __ oishii!
exc cucumber delicious
Oh, (this) cucumber is delicious!
c. a!/aa kono kyuuri __ oishii!
exc this cucumber delicious
Oh, this cucumber is delicious!
Te observation that a ga marked noun phrase has not been activated in the minds
of the speaker further explains the naturalness of (13a, b, d) and the unnatural-
ness of (13c) below (cf. Masunaga, 1988: 14950).
(13) a. a! basu _ kita
exc bus _ came
Oh, a bus is coming!
b. a! basu ga kita
exc bus _ came
Oh, a bus is coming!
c. *a! kyuukyuusha _ kita
exc ambulance _ came
Oh, an ambulance is coming!
25. Te distinction found between (12a) and (12b) is not relevant when the noun is a body
part (Receptor); a/aa onaka (ga) itai! Oh, I have a stomachache! see (5) above. Tis is most
likely related to the fact that a body part can never be modifed by a demonstrative such as kono
this. Tis matter requires a further investigation.
o Shoichi Iwasaki
d. a! kyuukyuusha ga kita
exc ambulance nom came
Oh, an ambulance is coming!
Upon seeing an approaching bus, a person, if he/she has been waiting at a bus stop,
can say (13a) to him/herself without ga. If, however, a person accidentally saw an
approaching bus, he/she would utter (13b) in his/her mind. Te reason why
(13c) sounds odd is because it is rare for people to wait for ambulances than
buses (i.e. it is harder to imagine a proper context). If a person accidentally saw an
approaching ambulances, he/she would utter (13d). Te point is that if the noun
phrase represents a non-activated concept, ga marking is obligatory. In contrast, if
it represents an activated concept, ga marking becomes problematic.
26
3.3.3 Interim summary
Tis section described two-term expressions. Such expressions describe visual,
auditory, and other perceptions. Te two terms in a two-term expression are con-
nected with the particle ga or juxtaposed without it. Te form, [NP-ga X], indi-
cates the speakers perception as a whole thetic judgment, but the [NP _ X] indi-
cates that the NP is independently identifed or activated before a situation
involving it is presented.
4. External descriptive sentences revisited
As we noted in the previous section, sentences in (11) and (12b), such as a! kono
mushi _ shinderu, are not thetic sentences of internal experience. However, they
are not external descriptive sentences either. A sentence becomes fully developed
as an external-descriptive sentence when the sentence is no longer temporally de-
ictic (Section 2.1). Tis can be done by removing the outcry expression and insert-
ing a particle, either ga or wa.
(14) External descriptive sentences
kono mushi ga/wa shindeiru
this bug nom/top die:asp:npst
Tis bug is dead.
26. According to Matsunaga, it is possible to make a sentence like (13c) acceptable by adding
a sentence fnal particle such as yo or zo: a! kyuukyuusha _ kita yo as these particles move the
focus from the NP to the verb (1988: 147). However, even without yo, it is possible to utter
(13c) in a context in which someone has called an ambulance, and the ambulance has just ar-
rived. Te function of yo here seems to create an understanding between the speaker and hearer
that there is a shared understanding regarding the ambulance.
Grammar of the internal expressive sentences in Japanese
ano hoshi ga/wa kiree da
that star nom/top beautiful cop
Tat star is beautiful.
Tese sentences are familiar sentences to students of Japanese linguistics. Te sen-
tences with wa are sentences of double judgment (Kuroda 1990, 1992), in which
the speaker frst singles out an entity and deliberately attributes a certain property
to it, such as Look at this bug, it is dead. Te sentences with ga, on the other hand,
are sentences of exhaustive listing (Kuno 1973), in which the speaker identifes an
entity to be predicated, as in the sentence It is this bug that is dead. From the neu-
rological point of view, both types represent the process of cognition, which works
to analyze a situation by sorting out a complex stimulus. Tere is another type of
descriptive sentence, the generic sentence, as shown in (15).
(15) External descriptive sentences
mushi wa chiisana ikimono da
bug top small living.thing cop
Te insect is a small living thing.
hoshi wa yozora o terasu
star top night.sky acc shine:npst
Stars shine across the night sky.
When a speaker uses generic sentences, he/she leaves the deictic world of here and
now, and enters the abstract, conceptual world.
Before we leave this section, we should make a brief note on the communica-
tive intent in language. One important feature of the internal-state expressions we
have been discussing is their non-communicative nature (see 2.1). Descriptive
sentences can also be used without any communicative intent. Tis happens when
speakers use these sentences to organize thoughts for themselves. In other words,
while communication is an important aspect of language, it is not a defning char-
acteristic of language.
5. Summary
Internal state expressions are linguistic representation of a speakers neurological
experience of perception, emotion, and feeling that he/she is undergoing inter-
nally at the time of utterance, and are, in principle, self-directed speech and not
intended for communication. Refex expressions are pre-linguistic gestures de-
noted by a!, aa and waa in Japanese. Internal state expressions reveal one or two of
the three primitives of Stimulus, Experience and Receptor. One-term perception
8 Shoichi Iwasaki
expressions in various forms with clipped or non-clipped adjectives and a limited
number of other words refer to a simple Experience, Stimulus, or marginally, Re-
ceptor. One-term emotion and feeling expressions do not take clipped forms, but
the former can co-occur with either a! or (w)aa, while the latter only with the long
expression, (w)aa. Among the three types of internal states, only perception can be
further elaborated into a two-term expression freely.
Two-term expressions code complex perceptions. When the two terms are con-
nected by the particle ga, the expression conveys the speakers thetic judgment ap-
plied to the whole utterance. When they are not connected with the particle, the
expression is a successive production of two pieces of information, i.e. two diferent
Stimuli a! mushi _ shinderu (Oh, the bug is dead!), Receptor and Experience aa.
onaka _ itai (Oh, my stomach hurts!), and Stimulus and Experience a! kyuuri _
oishii (Oh, this cucumber is delicious!). When the information is processed by a
higher neurological function of cognition, the speaker can produce a sentence con-
sisting of a noun followed by ga (exhaustive listing) or wa (topic) and a predicative
element, as seen in the sentence kono mushi ga/wa shindeiru (Tis bug is dead).
We hope to have shown that internal expressive sentences are best viewed as
linguistic representations of neurological processes that humans undergo. Tis re-
lationship will be eventually understood as part of the iconic principle pervasively
found in language (Haiman 1985). Te neurological event is a fundamental expe-
rience for humans, and thus it is expected to make a mark on all natural human
languages. It is hoped that research such as this one will be conducted on diverse
languages.
6. Discussion and conclusion
In this concluding section, I will discuss a theoretical implication of the current
research and methodological issues for studying expressive sentences.
Te expressive sentences in Japanese examined in this paper are largely ig-
nored in linguistics. An obvious reason for such neglect is that these sentences do
not convey a proposition, and thus are considered a sub-sentence in a feld that is
concerned with proposition making as a major endeavor of linguistic expressions.
Even those who acknowledge the expressive function of language pay little atten-
tion to the grammatical system that underlies it. Tis paper thus tried to fll this
gap by showing grammatical system which maps the form and the internal state
that it reveals. Grammatical systems discovered include possibility of clipping of
adjectives, co-occurrence patterns with diferent types of refex expressions, ex-
pansion of one-term expression into two-term expression, the use and non-use of
nominative particle ga and the use of demonstratives among others. Tese systems
Grammar of the internal expressive sentences in Japanese
are rather odd if seen from the confnement of traditional grammatical paradigm.
However, native speakers know these patterns; e.g. they will never say *a! kono
mushi ga shinderu (Oh! this bug is dead!) upon seeing a dead bug, but may say a!
kono mushi __ shinderu (Oh! this bug is dead!) without the particle ga. Likewise,
native speakers can distinguish the grammatical use of clipped forms for certain
adjectives aita! (painful) and the ungrammatical use of such forms for other adjec-
tives *a! ureshi! (happy). Tis means that the grammatical knowledge of native
speakers includes recognition of these systems.
Te question remains however, of how to understand this system in relation to
the more familiar systems that have been traditionally discussed in linguistics. For
example, how should we understand the function of subject marking by the par-
ticle ga and its function in a thetic judgment sentence? Here I suggest that lan-
guage consists of multiple dimensions defned by diferent functional domains,
and each dimension may be organized grammatically diferently with overlaps to
various degrees. Besides the dimension of internal expressions, other dimensions
of language that should be recognized include, conversational interaction, oral
narratives, poetry, academic writing, sports casting and many more. Tese dimen-
sions have been conventionally discussed in terms of speech genres, but we must
now critically examine each genres internal grammar. Speakers acquire a diferent
set of multiple grammars throughout their lives at diferent times, with diferent
rates of learning and through diferent means. A mature speaker is thus a person
who has integrated multiple grammars, and can use them separately or concur-
rently within a single discourse. Te current study could be seen as an initial step
towards understanding such grammatical knowledge and ability to use them in
real discourse.
Research into internal expressive sentences has been neglected both in formal
and functional linguistics because of its methodological difculty. Expressive sen-
tences are not always available in the kind of discourse data linguists collect. Even
in emotion-laden oral stories of personal tragedy, what one most ofen fnds is a
linguistic description of refex, perception, emotion, and feeling, or at best, one
can fnd acting of pain, hurt and joy, for example. Tese expressions are not, how-
ever, truly temporally deictic expressions. Furthermore, internal states such as
pain, hurt, joy, and the like are more ofen than not communicated through extra-
linguistic features, such as grunts and noises (Campbell 2005).
We can, however, consider a few methodologies that may be utilized. One pos-
sibility is to identify expressive sentences in a large spoken corpus. For example,
Campbell used a corpus containing almost fve years of daily conversational
speech (2005: 116) to study expressive speech (Campbell 2004, 2005). Tough
the chances of fnding actual examples of expressive sentences will increase as the
size of the corpus becomes larger, it may not be possible to able to get to all the
8o Shoichi Iwasaki
details of the phenomena, as expressive speech is by nature private, and may not be
captured by the currently available methodologies.
On the other hand, comic books contain many exclamations, curses, and oth-
er expressive language, and thus are promising sites in which expressive sentences
can be studied. Gofman (1981: 114) advocates the use of cartoon and comic books
to study response cries as creators of such an art form must capture the presumed
inner state of cartoon fgures.
27
Te following are a few relevant examples of ex-
pressive language that appear in Pocket Monster Special vol. 1 (2005, Hidenori
Kusaka, Tokyo:Shogaku-kan):
28
(16) Pre-linguistic refex expressions:
a!? uwa! ku!
a~a~ uwaa!? hi!
aa!? uwaaaa!! waa!!
achaa eee!? wa!
uo!? oo! waaa!
Sensation perception expressions
ite!/ tete!/atatatata/ (< itai painful)
uatchi! (< atsui hot)
Puzzlement
he? e!? heee. What?
Curse
kuso!/kusoo. Shit!/Damn it!
kono yaroo!! Bastard!
Discovery
a! dokukurage Oh! Dokkukurage!
(a name of Pocket Monster)
a! kabigon Oh! Kabigon!
(a name of Pocket Monster)
a! booru miiikke Oh! I found the ball!
Combination
u... nanda? kono kiri... Hm? What? Tis fog...
kaaaa! kawaikunee yatsu Mmmmm. Not a cute one!
27. See also Maynard (2002: 117121) for a detailed discussion on the use of comics, fctions and
television dramas as linguistic data. A caution is, however, necessary as the language in comics is
a creation of the author, and may not correspond to the real use of language (see Kinsui 2003).
28. Diverse orthographic conventions are used for various efects in the original. Here we can
convey only some of these.
Grammar of the internal expressive sentences in Japanese 8:
Even this small sample gives both confrmation for some points made in the pres-
ent paper and suggestions for further analysis. In this data are found pain expres-
sions in the clipped form (ite!) and the fused form (uatchi! < u! atchi!) as well as a
clipped form that lacks the initial vowel (tete < itete < itai itai; atatatata < a! itai
itai itai). A slightly more complex sentence would include extra material; in a,
booru miiikke, the verb miiikke is a clipped form from mitsuketa found.
29
An ex-
panded database of comics will most likely aford more varied forms used for in-
ternal expression.
Another reasonable solution is an old technique of using introspection. Tere
is always the danger of fabricating data to ones own advantage in the introspection
based research, but as has been noted, certain aspects of language such as (m)ean-
ings, mental imagery, emotions, and consciousness (Chafe 1994: 12) (and we
could add other internal states SI) can only be privately observable. For these
aspects of language, introspection provides an important initial point of explora-
tion. Of course, linguists who wish to study expressive sentences or similar phe-
nomena such as inner speech (Vygotsky 1962: 448) need to struggle to pair up
their theory with publicly observable linguistic behavior (Chafe 1994: 15), and ac-
cept criticisms on their judgment, and continue to revise their understanding of
the phenomena. However, since it is unlikely that one methodology will reveal the
entire range of phenomenon of internal expression, making use of a variety of
methodologies is crucial. Only through such an open-minded approach will we
advance our knowledge of human language.
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Subjectivity, intersubjectivity
and Japanese grammar
A functional approach
Rumiko Shinzato
Tis survey study intends to show the benefts of adopting the functional
linguistic perspectives of emphasizing the non-referential and emotive/
subjective aspects of language, which are largely neglected in mainstream
formalist linguistics. Specifcally, this paper will frst point out the fact that both
Japanese linguist Haga and French linguist Benveniste independently proposed
very similar dichotomies, juttei vs. dentatsu (Haga 1954) and subjectivity
vs. intersubjectivity (Benveniste 1971[1958]) for their analyses of the non-
propositional parts of language. Subsequently, drawing upon published studies,
this paper will point out the relevance of these two dichotomies to syntactic
organization (predicate order in particular), soliloquy and dialogue (or mental
and speech act) dyad, and diachronic change (namely, the unidirectionality in
grammaticalization from subjectifcation > intersubjectifcation (Traugott 2003).
1. Introduction
1
It is probably fair to say that mainstream formalist linguistics has built on analyses
of discrete and close-ended data, out of discoursal context, and at the exclusion of
the speaker (cf. Givn 1982; Hopper 1997). It has treated language as an abstract,
static, mechanical, and non-humanistic object (Finegan 1995). Actual data, which
faithfully represent the reality of language in everyday life, but do not conform to
the formalist models, were ignored and conveniently replaced by introspection
(Laury & Ono 2005). Naturally, in this school, referential, rational and objective
aspects of linguistic expressions were of the utmost concern, and non-referential,
emotive, and subjective aspects were largely neglected (Lyons 1982, 1995; Mushin
2001; Maynard 2002; Suzuki 2006). Tus, the downplaying or dismissal of the
1. I would like to thank Kaori Kabata and Tsuyoshi Ono for their valuable comments and
advice on an earlier version of this paper. I am also grateful to a reviewer of this paper for her/
his comments. Any shortcomings remain my own.
8o Rumiko Shinzato
speaker has been commonplace in the generative tradition (Mushin 2001: 3), let
alone other interactants, conversational context, and subtle cues of participants
visual and bodily conduct, which have been vigorously investigated in Conversa-
tional Analysis (CA) (Selting & Couper-Kuhlen 2001; Prevignano & Tibault
2003; Hayashi 2003).
In stark contrast, a branch of traditional Japanese linguistics (kokugogaku) has
always been concerned with the subjective, emotive and interactive parts of lan-
guage, which have been integral to the Japanese language (Tokieda 1941; Watanabe
1953; Minami 1974). Testimonial to this is a long tradition of Japanese linguistic
studies (Watanabe 1953, inter alia) on chinjutsu (roughly subjectivity + intersub-
jectivity
2
in the sense of Benveniste). Closely related to chinjutsu is the notion of
ima/koko/watashi now/here/I, which has been widely recognized and integrated
in grammatical descriptions of Japanese (Nakau 1994; Watanabe 1995; Onoe 2001
[1998]).
3
Not surprisingly, this notion relates to ground in cognitive linguistics
(Langacker 1991), deixis (Bhler 1934; Lyons 1977; Duchan et al. 1995), and sub-
jectivity (Benveniste 1971[1958]) in Western functional linguistics.
Te importance of non-referential and emotive/subjective aspects of the
Japanese language has been also emphasized in Western functional linguistics. A
2. An anonymous reviewer ofers a diferent interpretation of Benvenistes notion of inter-
subjectivity. S/He claims that Benvenistes intersubjectivity is really a close relative of objectiv-
ity (shared knowledge etc.), as the term is used in philosophy, rather than of subjectivity in
the Traugottian (or Haga) sense. Here, I still follow Traugotts interpretation of Benveniste
(Trangott & Dosher 2002: 20): Benveniste saw the SP/W-AD/R dyad as the condition or ground
for linguistic communication, and characterized this relationship as one of intersubjectivity
in communication each participant is a speaking subject who is aware of the other participant as
speaking subject. (SP/W-AD/R = speaker/writeraddressee/reader)
3. Te speakers now relates to Akatsukas (1979: 1011) notion of immediate experiencer.
Akatsuka claims that the speaker cannot express disparagement of himself at the speakers now,
when he is an immediate experiencer as in her example (i), but he could negatively evaluate him-
self when he is not an immediate experiencer as in her example (ii).
(i) *watashi wa orokanimo yuubinya ga tegami o kaihuu-shite iru to omou. (present)
(ii) watashi wa orokanimo yuubinya ga tegami o kaihuu-shite iru to omotte ita. (past)
I stupidly mailman letters opening is that think
I stupidly {(i) think/(ii) thought} the mailman {(i) is/(ii) was} opening our mail.
Te speakers now is also analogous to Nakaus (1979: 235238) notion of the speakers instanta-
neous present. Te simple present tense omou refers to the speakers instantaneous present, while
the progressive, omotte-iru does not. Te negation of the former is impossible as in (iii), but the
latter can be negated, as in (iv) (Both are Nakaus examples with my gloss and translation).
(iii) * watashi wa Ann wo shoojikida to omou no dewa-nai.
(iv) watashi wa Ann wo shoojikida to omotte-iru no dewa-nai.
I top obj honest comp think that is not
Its not that I (iii) think/(iv) am thinking that Ann is honest.
Subjectivity, intersubjectivity and Japanese grammar 8
common and pervasive belief among Japanese researchers in this camp is that
Japanese is so imbued with subjectivity or intersubjectivity that it is impossible to
talk about Japanese grammar (conditionals, complementizers, sentence-fnal
forms, temporals, giving-receiving verbs, conjunctions, etc.) without reference to
this key notion (see Akatsuka 1979, 1985; Iwasaki 1993; Kamio 1997; Kuno 1987;
Kuroda 1973; also Maynard 1993). For instance, Maynard (1993: 4) comments
that it is impossible to speak Japanese without expressing ones personal attitude
toward the content of information and toward the addressee.
Following the spirit of these previous studies both in Japan and the US, I will
show the benefts of adopting functional linguistic perspectives. Specifcally, this
paper will frst point out the fact that both Japanese linguist Haga and French lin-
guist Benveniste independently proposed very similar dichotomies, juttei vs. den-
tatsu (Haga 1954) and subjectivity vs. intersubjectivity (Benveniste 1971 [1958])
for their analyses of the non-propositional parts of language. Subsequently, it will
point out the relevance of these two dichotomies to syntactic organization (predi-
cate order in particular), soliloquy and dialogue (or mental and speech act) dyad,
and diachronic change (namely, the unidirectionality in grammaticalization, in
the sense of Traugott 2003). Readers should be warned that this paper is meant to
be a survey study in nature, not meant to be an original case study.
2. Subjectivity vs. intersubjectivity
Traditionally, the non-referential part of the sentence has been referred to as mo-
dality (mood) vis--vis proposition, the referential part of the sentence. Modality
is an extremely broad and general concept that includes such concepts as deontic/
epistemic distinction, epistemic qualifcation, evidentiality, mood, perspective,
and temporality (Narrog 2005). Tough these sub-concepts are useful and enlight-
ening in their own light, this paper capitalizes on subjectivity and intersubjectivity.
Tis is because it is through this concept that the intertwinedness of structure,
semantics/pragmatics, and diachrony is clearly exhibited in Japanese.
Subjectivity and intersubjectivity are defned as follows: Subjectivity denotes
the speakers attitude towards the proposition, while intersubjectivity exerts the
illocutionary force directed towards the addressee.
4
In Japanese linguistics, Haga
4. Te following defnitions on subjectivity may serve as a useful reference for (inter)subjec-
tivity:
Lyons (1982: 102) the term subjectivity refers to the way in which natural languages, in
their structure and their normal manner of operation, provide for the locutionary agents ex-
pression of himself and his own attitudes and beliefs...
88 Rumiko Shinzato
Table 1. Comparison of Hagas and Benvenistes concepts
5
Haga
(1954)
juttei judgment
= the speakers attitude
toward the proposition
dentatsu communication
= communication of proposition and
propositional attitude to the addressee
Benveniste
(1971[1958])
subjectivity
= the expression of the attitude
of the speaker with respect to the
statement he is making
intersubjectivity
5
= which alone makes linguistic
communication possible
(1954) frst proposed this division in chinjutsu (roughly modality). Te Japanese
terms he created are juttei for subjectivity, and dentatsu for intersubjectivity. In
Western linguistics, Benveniste (1971[1958]) recognized this distinction indepen-
dently (see Table 1 for their correspondence).
From their parallel characterizations as seen in Table 1, it becomes evident
that the key words for subjectivity and intersubjectivity are speakers attitude and
communication respectively. What is more, it also becomes apparent that the
existence of the addressee in context is essential for the latter, though it is not the
case for the former.
6
As will be discussed in Section 2.2, the presence or non-
presence of the addressee is critical for the mental vs. speech act verb distinction
as well as the soliloquy vs. dialogue dyad.
Having seen two extremely similar dichotomies arising from the opposite
ends of the world, one may ask if there is any relationship between subjectivity and
intersubjectivity and if there is one, what the nature of the relationship is. Traugott
and Dashers (2002: 22) view resonates through this paper: Subjectivity is a pre-
requisite to intersubjectivity, inasmuch as SP/Ws attitude toward AD/Rs is a func-
tion of the perspective of SP/W (RS: SP = speaker, W = writer, AD = addressee, R
= reader). Te following two sections will demonstrate how this implicational
Finegan (1995: 1) ...expression of self and the representation of a speakers (or, more
generally, a locutionary agents) points of view in discourse what has been called a speakers
imprint...the intersection of language structure and language use in the expression of self.
5. As an anonymous reviewer points out, this should be understood as a function of inter-
subjectivity rather than the defnition of it.
6. Verhagen (2005: 78) include two conceptualizers, the speaker and the hearer, in his for-
mulation of the construal confguration, and claims as far as to say ...even in the absence of an
actual addressee, a speaker (for example, one making a note in a personal diary) is committed to
the assumption that her utterance is in principle interpretable by someone else sharing the
knowledge of certain conventions. Te idea that some utterance could in principle only be inter-
pretable for a single individual makes the idea that it is an instance of language void. However,
he (ibid: 18) does recognize the case where only the speaker is profled, such as the context when
the speaker utters a non-interactional sign of disgust or frustration (Yech, Damn).
Subjectivity, intersubjectivity and Japanese grammar 8
relationship is substantiated in Japanese syntax, soliloquy/dialogue dyad, and dia-
chronic change.
2.1 Predicate order
It is well recognized in traditional Japanese linguistics that Japanese predicates,
that is, verbs, auxiliaries, and sentence-fnal particles, are connected in a fxed or-
der, which is not reversible. As seen in example (1), adopted from Haga (1954), a
verb is frst followed by the sentence-fnal particle ka, expressing the speakers
doubt, and it is then followed by another sentence-fnal particle, ne, which func-
tions to form the addressee-directed question. Needless to say, the former corre-
sponds to subjectivity and the latter to intersubjectivity as defned in this paper.
(1) [[[shibai ga hajimaru] ka] ne
7
]
play sbj start Doubt/Wonder Question
[[[jojutsu] + juttei] + dentatsu]
=proposition =subjectivity =intersubjectivity
I II III
with I only Te play will start.
with I + II I wonder if the play will start.
with I + II + III (I wonder, therefore I ask) Is the play starting?
Since the reverse order, ne ka, is not possible, it follows that the speaker frst
expresses his doubt about the proposition (i.e., the play is starting), and then
directs the question to the addressee (i.e., illocutionary act of questioning). It is
evident that Japanese predicative order proceeds from proposition to subjectiv-
ity and fnally to intersubjectivity. Or, in Hagas terms, it goes from jojitsu, to
juttei, and then to dentatsu. Te strict unidirectionality observed here is consis-
tent with the implicational relationship suggested by Traugott and Dasher (2002)
as mentioned above.
Hagas view has been further explored in Minami (1974), which analyzes
Japanese sentences to be organized in a layered structure with four distinct levels
in it. In Table 2, elements in bold represent ones unique to that level and not shared
by the lower level, but included in the next higher level.
8
7. Haga (1954) treats ne and naa to be diferent functionally. Te former is characterized as
dentatsu intersubjective, while the latter juttei subjective. An utterance can end with the subjec-
tive elements alone.
8. Te VP in English in the early days of generative grammar is formulated as (a). In this PS
rule, the verb phrase might have been singing has a deep structure like (b), from which a surface
structure (c) is produced afer afx hopping is applied (see Binnick 1991).
o Rumiko Shinzato
Table 2. Minamis sentence production levels
Level Example
A (Nimotsu ga) Yokohama ni tsuku
(luggage sbj) at arrive
(Te luggage) will arrive at Yokohama.
B Kinou nimotsu ga Yokohama ni tsui-ta
yesterday arrive-past
Te luggage arrived at Yokohama yesterday.
C Nimotsu wa tabun kinoo Yokohama ni tsuita daroo
top probably inf
Probably, the luggage arrived at Yokohama yesterday.
D Soodana, nimotsu wa tabun kinoo Yokohama ni tsuita daroo yo
Well I-tell-you
Well, I tell you, probably, the luggage arrived at Yokohama yesterday.
Note here that Minami augmented Hagas analysis by recognizing a similar hierar-
chical order in nominal elements as well. According to Minami, levels from A to D
represent an increasing degree of sentence-hood (bunrashisa). Tat is, level D rep-
resents a syntactically more complex, and semantically richer sentence than level
A. Note also that Minamis levels C and D correspond to Hagas juttei and dentatsu,
or subjectivity and intersubjectivity respectively.
Te layered structure advanced in traditional Japanese linguistics fnds its
counterpart in Role and Reference Grammar (Foley & Van Valin 1984), Hengevelds
(2005 [1989]) layered model, and Rijkhofs (2002) model of noun phrase and verb
phrase correspondence. In Hengevelds layered model (2005 [1989]: 56), four dif-
ferent operators are nestled in a structure as in Figure 1.
a. VP Tense (Modal) (have + en) (be +ing) V
b. VP Past may have en be ing sing
c. VP may + Past have be + en sing + ing
Tis elegant and simplistic treatment of the English VP with enormous generative power
appeared extremely attractive and convincing to students. Attractive and workable though it
may be at a purely syntactic and mechanical level, placing the precedence of tense over modal
is counterintuitive on semantic grounds. As Nakau (1979: 225229) rightfully argues (see
footnote 2), modality (i.e., subjectivity as used in this paper) is only concerned with speakers
instantaneous present, thus it is outside the scope of tense. Te Japanese predicative order cor-
roborates this. Tense belongs to Minamis B level, but modality is an element of C level. Te evi-
dential/epistemic mood tense in scope is claimed in Cinques (1999) cross-linguistic study of
adverbs as well. In addition, Bybee & Paglincas (1985: 3335, 196200) research fnds that of
ffy languages, all but one conform to the same scope relation (mood tense).
Subjectivity, intersubjectivity and Japanese grammar :
(E
1
: [
4
ILL (S) (A) (
3
X
1
: [proposition] (X
1
))] (E
1
)
(
2
e
1
: [
1
Pred
(X
1
) (X
2
)...(X
n
)] (e
1
))
1
: Predicate operators
2
: Predication operators
4
: Illocution operators
3
: Proposition operators
Figure 1. Hengevelds model (2005 [1989]: 5)
Te defnitions of the operators from the innermost
1
to the outermost
4
are
given in (2):
(2) Predicate operators (
1
) capture the grammatical means which specify ad-
ditional properties of the set of SoAs (RS: state of afairs) by a bare predi-
cation.
Predication operators (
2
) capture the grammatical means which locate
the SoAs designated by a predication in a real or imaginary world and thus
restrict the set of potential referents of the predication to the external
situation(s) the speaker has in mind.
Proposition operators (
3
) capture the grammatical means through which
the speaker specifes his attitude towards the (truth of the) proposition he
puts forward for consideration.
Illocution operators (
4
) capture the grammatical means through which
the speaker modifes the force of the basic illocution of a linguistic expres-
sion so as to make it ft his communicative strategy.
It is interesting to see that his proposition and illocution operators parallel Hagas
juttei and dentatsu and Benvenistes subjectivity and intersubjectivity dyads. Just as
Hagas juttei and Benvenistes subjectivity are concerned with the speakers attitude
towards the proposition (cf. Table 1), so are Hengevelds proposition operators.
Similarly, as Hagas dentatsu and Benvenistes intersubjectivity put the communi-
cative aspect of language use in focus, so do Hengevelds illocution operators. In
addition, the hierarchical relationship held between them (Illocution operators
Proposition operators) is also consistent with that of intersubjectivity (dentatsu)
subjectivity (juttei).
In Minamis model, the nominal elements unique to each level have close se-
mantic relationships with their corresponding predicate elements in the same
level (cf. Table 2). For instance, at Level B, kinoo yesterday is in a natural liaison
with the past tense marker, -ta. Similarly, at Level C, the modal adverb, tabun
probably readily connects to the inferential auxiliary, daroo, and the same is true
for the semantic tie between the discourse marker, soodana well and the interper-
sonal particle, yo. We also fnd in Rijkhofs (2002) model (cf. the top half of
i Rumiko Shinzato
2b
2b
2a
2a
2b
2a
1
1
2a
2b
Location
Quantiy
Quality
Time
verbal
aspect
demonstr.
pronoun
semalfactive
iterative, etc.
aspect tense VERB
adverbs/adverbials of:
manner
speed, etc. frequency
NOUN lexical
numeral
adjective
Rel. cl
possessor
NP, etc.
time
place
Space
number
numeral
Quality
nominal
aspect
Quantity
Location
Figure 2. Symmetry in the underlying structure of the clause and the NP Rijkhof
(2002: 224)
Figure 2)
9
similar bi-directional extensions, as in
1
(=qualifying clause operator)
corresponding to
1
(=qualifying clause sattellite). Rijkhof (2002: 216) states that
in the layered model elements of the linguistic expression that belong together
semantically also occur together in the underlying structure of that linguistic ex-
pression. Tus, he contends that verbal aspects
1
and adverbs of manner and
speed
1
come closest to the semantic nucleus, the verb.
In addition, Rijkhof also recognizes a similar bidirectional extension in NP (the
bottom half of Figure 2). He sees that as the verb phrase expresses a verbal aspect
(Aktionsart= mode of action), a noun phrase represents a nominal aspect (Seinsart=
mode of being) and both are semantically parallel. Te symmetry between NPs and
clauses proposed by Rijkhof neatly illustrates that the orders in NP and the clause
are not only fxed, but also organized by the same principles. He names three such
principles: principle of domain integrity, principle of head proximity, and principle
of scope. What underlies these, according to Rijkhof (2002: 253), is a more general
9. In Rijkhofs later model (2005: 87), two more layers are added: Kind in the inner layer of
Scope and Discourse-Referential in the outer layer of Location.
Subjectivity, intersubjectivity and Japanese grammar
iconic principle that states what belongs together semantically is also placed to-
gether syntactically.
10
Te quality of a noun is more or less its inherent or character-
istic properties which relate only to a nominal head, while quantity and location are
non-inherent and external features of a referent (ibid: 220).
Another signifcant contribution in this connection is ofered by Nuyts who
argues that her hierarchical relationship below (2001: 347)
11
stems from difer-
ences in conceptualization and cognition.
(3) evidentiality
epistemic modality
deontic modality
time
quantifcational aspect
qualifcational aspect
In the above cline from the bottom end to the top end, Nuyts sees the gradual
broadening of scope to correlate with widening scope of the state of afairs in-
volved, as in the relation between participants (lower level) state of afairs as a
whole (medium level) external situation (higher level). Cognitively, Nuyts inter-
prets the cline (from bottom to top) to be representing (ibid: 355) a decreasing
role of direct perception of the state of afairs, and an increasing role for interpreta-
tion and creative involvement on the part of the speaker. In other words, the low-
er ends on the ladder indicate what the speaker directly perceived, while the high-
er ends exhibit abstract deductive reasoning from perceptions of other states of
afairs. Te increasing involvement of the speaker towards the higher end is ex-
tremely reminiscent of the Japanese predicate order, especially the hierarchical
relationship between proposition subjectivity, as Nuyts quantifcational/qualif-
cational aspect is considered to be in the domain of proposition, while epistemic
modality clearly belongs to the subjective domain involving the speaker. As noted
with examples (6), Nuyts projection of the hierarchical relationship between men-
tal and speech act verbs is also consistent with subjectivity intersubjectivity.
Summing up this section, it was demonstrated that both Western and Japanese
linguistics recognized the concepts of subjectivity and intersubjectivity and
10. Similarly, Narrog (2002: 233) also views the correlation between structural and semantic
hierarchy in Japanese to be grounded in Givns (1995: 51) proximity principle: Entities that are
closer together functionally, conceptually, or cognitively will be placed together at the code level,
i.e. temporally or spatially.
11. Te hierarchical relationship presented here is the same in content, but slightly diferent in
appearance from its original. Her horizontal layout is replaced by a vertical one, and her symbol
> is replaced by to avoid confusion since the > is used to indicate the directionality of a
diachronic change in this paper.
| Rumiko Shinzato
consistently represented their scope relation as intersubjectivity subjectivity in a
hierarchical structure. Accounts for such fxed orders based on iconicity and cog-
nition were also provided. Te next section explores the relevance of the subjectiv-
ity vs. intersubjectivity dyad to semantic/pragmatic dichotomies.
12
2.2 Mental vs. speech act verb dichotomy
2.2.1 Implicational relationship between mental and speech act verbs
Te implicational relationship held between subjectivity and intersubjectivity also
has a bearing on the mental vs. speech act verb relationship. From the subjectivity
and intersubjectivity dyad as described in Table 1, it is a very small leap to associ-
ate it with the mental and speech act verb opposition, or I think X and I say X
contrast. It is also natural to wonder if the same heirarchical relationship (inter-
subjectivity subjectivity) holds true for the mental and speech act verb relation-
ship. Indeed, such an implicational relationship is observed in these two distinct
types of verbs.
Both Leech (1983) and Nakau (1994) claim that what speech act verbs refer to
meta-implicate what is described by mental verbs. For instance, Nakau (1994: 85)
ofers the following implicational relationship as in (4).
(4) Speech act verbs Mental verbs
a. I say/state/assert/claim/tell you (that) I believe (that)
b. I ask (you) inquire/question (wh-) I wonder (wh-)
c. I promise (to do) I intend (to do)
d. I order (you to do) I want (you to do)
e. I confrm (that) I know (that)
f. I deny (that) I doubt (that)
Nakau explains that in order to declare Gus guilt in (5b), the speaker has to frst
believe in that proposition. Likewise he maintains that one asks a question about
something, because one wonders about it (cf. the example in [1] where ka wonder
is followed by ne ask)
13
. In other words, what is embodied in mental verbs is a
prerequisite for the acts denoted by their corresponding speech acts to take place.
(5) a. I believe that Gus is guilty.
b. I assert that Gus is guilty.
12. Te structural hierarchy and scope increase in grammaticalization are discussed in more
detail in Shinzato (2007).
13. For a more elaborate study of mental and speech act verbs such as their structural parallel,
semantic proximity and implicational relationship, please refer to Shinzato (2004).
Subjectivity, intersubjectivity and Japanese grammar ,
Undoubtedly, the embeddability of mental verbs in speech act verbs, but not vice
versa, is also observed in English, thus furthering the point above. Nuyts (2001:
318) observes that on semantic grounds, (6a) is plausible, but (6b) is not:
(6) a. I say that I think that they have run out of fuel.
b.
?
I think that I say that they have run out of fuel.
2.2.2 Mental vs. speech act verb distinction to soliloquy vs. dialogue distinction
Another interesting point about the mental and speech act verb opposition is
Nakaus remark that speech act verbs always assume the existence of the underly-
ing second person you. Tis is because it is meaningless to engage in questioning,
ordering, or promising if there is no one to whom these speech acts are directed.
In principle, speech acts are communicative acts, and thus necessitate the existence
of the second person. Te absence vs. presence of the underlying you recalls the
two distinct modes of speech, namely, soliloquy and dialogue, since soliloquy re-
quires no audience, whereas dialogue does. What this leads to is the pairing of
mental verbs to soliloquy and speech act verbs to dialogue. In fact, whether a prop-
osition can be embedded in ~to omou I think that ~ serves as a diagnostic test for
whether or not it can be uttered in soliloquy (see Nitta 1991, Moriyama 1997).
Two volitional expressions in Japanese show an interesting contrast with regard
to the embeddability in omou I think. Te plain verb, expressing volition, can be
embedded in omou as in (7), but when the plain verb is annexed by tsumori da in-
tend to~, it can not be embedded in omou I think, but can be in iu I say as shown
in (8). What can be embedded in omou is apparently something which goes through
the speakers mind privately, and thus it can be uttered in soliloquy. In contrast,
what is embedded in iu I say is what is to be uttered to someone in dialogue.
(7) Ore wa itsuka yatsu o nagutte-yaru to omotta.
I top someday him obj hit-give comp thought
I thought Id hit him some day.
(8) Boku wa ganbaru tsumorida to (*omotta/itta).
I top try hard intend to comp thought/said
I (thought/said) that I intend to try hard.
Japanese lexical sensitivity to the soliloquy/dialogue opposition is also seen in the
two distinct question particles in Old Japanese (OJ). Te two OJ question particles,
namely ka and ya, are a case in point. It is generally agreed that ka forms a self-
inquiry, doubt, or wonder, while ya makes an other-inquiry (see Ono, 1993;
Sakakura 1993; Serafm & Shinzato 2000; Shinzato & Serafm 2003, 2013). Ayuhi-
sho, a grammar book written in 1778 (quoted in Ono 1993) diferentiates the two
as omohu wonder/doubt and tohu ask. Similarly, Sakakura (1993) notes that ka
o Rumiko Shinzato
frequently cooccurs with omou as in ~ka to omou I wonder if , whereas ~ya is
coupled with tohu I ask as in ~ya to tohu I ask if . Observe examples (9) and (10)
below:
(9) Wa ga seko ni mata ha aha-ji ka to omohe-ba
my love dat again top see-neg kp comp think-if
ka kesa no wakare no sube nakari-tsuru
kp this morning s parting sbj helpless-perf
I wonder if it is because I think I wont see my love again that the parting
this morning was (so) helplessly (sad). (Manyooshuu 540)
(10) Hatsusegaha haya-mi hayase wo musubi-agete
fast-since water obj scoop
aka-zu-ya imo to tohi-shi kimi ha mo
satisfy-neg-kp my love comp ask-past you top emph
Since Hatsuse rapids were fast, you scooped the water (for me with your
hands and asked, My love, you havent had enough (water), have you?
(Have it to your hearts content) (Manyooshuu 1452)
In Okinawan, a sister language to OJ, sentence-internal ga and sentence-fnal i (the
cognates of the OJ kakari particles, ka and ya respectively) unexceptionally form
self-directed vs. other-directed questions.
14
Consequently, ga can be uttered in so-
liloquy, but i has to be directed to an interlocutor in a dialogue.
Te mental vs. speech act verb contrast of want and order is also lexicalized in
OJ as the irrealis + na vs. irrealis + ne. Te former expresses the speakers wish/
hortation, while latter indicates his request toward the addressee (Tanabe 1953;
Morishige 1971; Yamaguchi 1985).
(11) Yamatachibana wo tsutoni tsumi-ko-na.
mountain orange obj gif pick-come-na
I wish to go pick mountain oranges for a gif (to someone).
(Manyooshuu 4471)
(12) Hitome mi ni ko-ne.
just once see to come-ne
Just once, come see it. (Manyooshuu 4077)
Tese lexicalized forms did not survive into Middle Japanese (9C~). But their
cognates in Okinawan, that is, the irrealis form + na and the irrealis form + i, are
still extant, and express the same contrast of the speakers intention vs. the request
14. Together with a wh-word, the sentence-fnal ga forms a wh-question directed to the ad-
dressee, complementing i, which only forms a yes/no question. Tis ga is diferentiated from the
sentence-internal KP ga. For more detailed discussion, see Shinzato and Serafm (2000).
Subjectivity, intersubjectivity and Japanese grammar
for the addressee. Tat is, the mental vs. speech act verb contrast of want and
order is readily seen in Okinawan cognates of OJ irrealis + na vs. irrealis + ne.
Needless to say, the Okinawan irrealis + i cannot be uttered in soliloquy, but only
in dialogue.
In Modern Japanese, the sentence-fnal particle ne is noted for its function to
build collaboration, cooperation, and confrmation with the addressee (Saji 1957,
Cook 1989, inter alia). In this context, it is illuminating to observe two experimen-
tal studies done on this particle. Tsuchii and Omori (2000) explored the frequency
of the use of ne in relation to aizuchi, chiming-in, or back-channeling. In Japanese
discourse, it is commonplace for the listener to signal his/her attentiveness and
involvement (i.e., I am listening) by nodding his/her head frequently (cf. Mizutani
1981). In Tsuchii and Omoris study, two control groups were formed unbeknownst
to the participants (students). When students presented their research to their
teacher, the teacher was instructed to limit chiming-in gestures in the frst group,
while this restriction was lifed for the second group. Tsuchii and Omoris study
found that the students in the frst group (without chiming-in) used ne at a notice-
ably higher frequency rate than the students in the second group. Tey interpret
this diference as follows: when the expected signal is not sent by the listener (the
teacher), the speaker senses some oddity about his interaction, and thus is com-
pelled to use ne more ofen to remedy the awkward situation and establish a healthy
speaker-listener interaction. Watamaki (1997) analyzed tape-recorded conversa-
tion data between a care-taker and two children: a child with mental retardation,
and a child with autism. Te fnding of this study is that the child with mental re-
tardation used ne frequently just like a normal child, but the autistic child did not
use ne at all. Tis diference was only observable for ne, and not for the other par-
ticles. Watamaki interprets this as the result of impairment of interpersonal skills
in the autistic children. What these two studies illustrate is the highly interper-
sonal and intersubjective nature of ne, in accordance with Hagas characterization
of its function as dentatsu communication.
What emerges from this subsection is a three-way relationship as summarized
in Table 3, in which the subjectivity/intersubjectivity opposition relates to the
mental/speech act verb dichotomy, by way of which the subjectivity/intersubjec-
tivity dyad further parallels the soliloquy/dialogue distinction.
Table 3. Tree-way correspondence
subjectivity mental verbs soliloquy
intersubjectivity speech act verbs dialogue
8 Rumiko Shinzato
Tough the mental vs. speech act verb distinction, or the soliloquy vs. dialogue
dyad, could hardly become objects of serious research in formalist linguistics, in
cognitive linguistics, the subjectivity vs. intersubjectivity dyad made an inroad
into research. According to Evans (2004: 34), what he calls subjective information
(information of internal states) is encoded in body format representation, while
what he calls intersubjective information (visual-spatial information from the ex-
ternal world) is encoded in 3D format. Te former feeds into the latter, which is
further elaborated as a conceptual system, then as a linguistic system. Tis also
shows the far-reaching nature of the notions of subjectivity and intersubjectivity.
2.3 Unidirectionality in grammaticalization
Te previous sections discussed the heirarchical and implicational relationship
between subjectivity and intersubjectivity in a synchronic frame. Tis section
points out its additional relevance to diachronic change, especially to the unidirec-
tionality in grammaticalization. Not surprisingly, the subjectivity/intersubjectivity
dichotomy fnds its counterpart in grammaticalization theory as subjectifcation/i
ntersubjectifcation, which Traugott (2003: 128) defnes as follows:
(13) ...while subjectifcation is a mechanism whereby meanings become more
deeply centered on the speaker, intersubjectifcation is a mechanism
whereby meanings become more centered on the addressee....Te hypoth-
esis is that, for any lexeme L, intersubjectifcation is historically later than
and arises out of subjectifcation.
A perfect example of the shif from subjectifcation to intersubjectifcation comes
from Japanese as in the development of mental verbs into speech act verbs. Traugott
and Dasher (1987: 570) note the following development (MV and SAV stand for
mental verb and speech act verb respectively).
(14) kotowaru: attested as MV meaning <<discern, discriminate>> from the
8th C, and a SAV with the meanings <<give reasons, apologize>> from the
late 12th C, <<announce judgement>> from the late 13th C. Te present
meaning <<refuse>> is attested from the mid 19th C.
mitomeru: mi-miru <<see>> + tomeru <<stop>> attested as a MV mean-
ing <<recognize>> from the 13th C, and as a SAV from the 17th C.
A similar path is also observed in the English verb, fnd, as below:
(15) fnd: appears from OE on as a MV; does not appear as SAV until 1400, and
then only in legal contexts (e.g. fnd guilty means <<determine and declare
guilty>>)
Subjectivity, intersubjectivity and Japanese grammar
Referring to such a unidirectional developmental path, they (ibid: 570) state:
(16) Being in a certain state of mind is a prerequisite for a speech act... claim
involves the speakers belief in the proposition, order involves the speakers
desire for the addressee to do whatever is named in the proposition...
Note that their remark is strikingly similar to Nakaus implicational relationship
(cf. example 4), and in line with the Japanese predicative order (cf. example 1).
In this junction, it should be mentioned that Romaine and Lange (1991: 265)
follows Traugott and Dasher (1987) in hypothesizing that the expression, be like
frst developed as a marker of thought as in (17), and then as a marker of speech,
as in (18).
(17) My mother said, David where are you, and he just came right out. I was
like, I thought I lost him. I really thought I lost him. (ibid: 265)
(18) I was like, Mom? She was like What! (ibid: 253)
Romaine and Lange (ibid: 243) found that in their data, like tends to be used for
self-representation, say for the speech of others, and go for both. Regarding this
statistical diference, they state, Insofar as only the speaker can have access to his/
her own thoughts, and like (rather than say or go) is more likely to be used for the
representation of thought, this trend is not surprising. Te higher rate of the oc-
currence of be like with the 1st person subject is also noted in Tagliamonte and
Hudson (1999). Afer all, we know what others are thinking from what they say,
not by our omniscient power.
Another relevant mental vs. speech act contrast can be seen in the develop-
mental history of I see you see. According to OED, I see as in the sense of under-
stand, that is, the next stage of development from its concrete visual perception
sense, was attested around 15C as in (19), while you see as an interpersonal dis-
course marker appeared around 17C as in (20). Tis again conforms to the direc-
tionality of subjectifcation > intersubjectifcation.
(19) Now I see and vnderstande that myn old synne hyndereth me and shameth
me. (147085 MALORY Arthur XIII. xix. 639)
(20) Because, you see, the present Government has 1,900,000 l.
(1657 CROMWELL Sp. 21 Apr. in Carlyle Lett. & Sp.)
Some Japanese modal auxiliaries such as rashii it appears, yooda it seems and
sooda I hear are polysemous between evidential meaning and mitigating mean-
ing. In Nittas (1992) example (21), yooda (yoo desu) has an evidential function,
indicating the proposition it appends to was yielded through the speakers inferen-
tial process based on the available information (in this case what is expressed in
the previous sentence). In contrast, the same auxiliary in (22), does not express
:oo Rumiko Shinzato
any evidential meaning, but rather it makes the tone sofer and indirect. Tus, it
concerns more with politeness than evidentiality. Needless to say, the former aligns
with mental verbs, while the latter does so with speech act verbs.
(21) Me-o-korasu to rei-no-futari ga butchouzura-de dete kita.
gaze when those two sbj serious-look came out
Doomo senka wa sappari datta yooda
Somehow results top not great was seem
When I was gazing, those two came out with a serious-look (on their
faces). It seems that the results were not that great.
(22) (Afer checking his watch to make sure the time has already passed)
Jikoku ni natta yoodesu. Honjitsu no kaigi wa kore de
time has come seem today s meeting top this with
ohiraki-ni shi tai to omoimasu.
ajourn make would like to comp think
It seems the time is up. I would like to adjourn todays meeting now.
Nitta (1992: 7) asserts that what he calls communication modality as in (22) was
developed later than judgement modality as in (21). Tough his analysis is syn-
chronic in essence, nonetheless, here again, the same directionality from mental to
speech act verbs, or subjectifcation intersubjectifcation is confrmed.
15
Tough not refecting the contrast between mental and speech act verbs per
se, Japanese examples such as (23) are also consistent with the unidirectionality
(subjectifcation > intersubjectifcation) under discussion. As illustrated below,
this unidirectionality is not limited to a particular part of speech, but applies to
items across the board: (a) verb; (b) formal noun; (c) clausal connective; (d) quota-
tive conditional; and (e) sentence-fnal particle. In the following examples, the ear-
lier stages depict the happenings in the speakers inner world (afect, inference,
judgement, exclamation), while the later stages exemplify other-oriented speech
acts (camaraderie, invited hearers inference, vocative, summon). Te earlier stag-
es correspond to subjectifcation, as opposed to the later ones which exhibit inter-
subjectifcation:
(23) a. te shimau (afective marker > social dialect/camaraderie)
(Strauss & Sohn 1998)
15. In the case of yooda/yoodesu, the subjective/intersubjective distinction does not seem to be
dichotomous, but rather a matter of degree. In fact, Traugott (2003: 134) also states, ...although
it may in some instances be difcult to determine whether a new meaning is strictly subjective
before it becomes intersubjective, nevertheless, nonsubjective > intersubjective > subjective is
hypothesized not to be likely.
Subjectivity, intersubjectivity and Japanese grammar :o:
b. wake (speakers inference > invited hearers inference) (Suzuki 1998);
mono (subjective judgement > amae, dependency on the addressee
(Fujii 2000)
c. demo (subjective adversative connective > discourse marker of claim-
ing foor, and changing topic) (Onodera 2004)
d. ttara (metalinguistic and subjective judgement > vocative)
(Shinzato 2007)
e. na (exclamation > summon) (Onodera 2004)
In summing up this section, it discussed the diachronic counterpart of the syn-
chronic hierarchical relation between subjectivity and intersubjectivity. Drawing
on existing studies, it demonstrated that the diachronic shif from mental verbs >
speech act verbs, and also the shif from mental acts > speech acts are prevalent in
Japanese across grammatical categories.
3. On the fundamentality of subjectivity and intersubjectivity
Te above discussions on the relevance of the notions of subjectivity/intersubjec-
tivity to Japanese syntactic organization, the mental/speech act verb diference,
soliloquy/dialogue distinction, and furthermore, the unidirectionality in gram-
maticalization lead to the close mesh of synchrony, diachrony and modes of speech.
As is well known, in some formalist frameworks, morphology is seen as autono-
mous, modular, and divorced from diachronic and comparative analyses (Aronof
1994). In the functional frameworks, morphology is viewed to be intertwined with
diachronic, psychological as well as communicative processes (Bybee et al. 1994;
Axelrod 1999). As has been substantiated on neurological grounds (see Ariel 1998:
15), it is probably true that some level of modularity or autonomy in morphology
exists. However, faced with the rigid predicate order in Japanese as well as cross-
linguistically and its interdependence with other seemingly unrelated aspects of
language, diachrony and speech modes, it is difcult, if not impossible, to ignore
such interdependence of morphology and other components of language.
16
It
16. Ariel (1998: 15) states that Fodors (1983) input-system and central system distinction may
have a neurologically based parallel: Lef brain-damaged patients have selective semantic, syn-
tactic, and morphological defcits. Right brain-damaged subjects are impaired in drawing infer-
ences based on contextual assumptions, in extracting the text macrostructure, the discourse
theme, the main point, coherent, connections among textual propositions, a distinction between
important and trivial elements, humorous points, inferences about the emotional state of others,
etc. Additionally, Cain (2002) supports the modularity of Fodors input system based on patho-
logical data. However, for a critique of Fodors theory, see Prinz (2006).
:oi Rumiko Shinzato
Table 4. Related notions and studies
Notion Applicable to: Example
ego vs. non-ego
(McCawley 1978)
complementizer
choice
no = Ss own mental state;
internalized knowledge
koto = others mental state; not
yet internalized knowledge
waga-koto my afairs vs.
hito-goto other peoples afairs
(Watanabe 1991)
adverb choice zuibun very cannot modify
waga-koto, but taihen very can.
experiencing self vs. observing
self (Shinzato 2003)
simple vs. stativized
verb form
simple tense = experiencing self;
stativized verb = observing self
uchi inside vs. soto outside
(Quinn 1994)
transitivity, aspect,
modality, nominalizers,
locative particles
ni in/at + shite mo
=even given [its] being X
to with/alongside + shite mo
=even supposing [it] to be X
seems that strict adherence to an autonomy thesis would deprive one of seeing the
richness and intriguing facts of language.
Likewise, the soliloquy and dialogue distinction has never been a concern in
formal analyses. Te sensitivity of Japanese syntax to such a distinction assures us
of the indispensability of such a notion in grammatical description. If the solilo-
quy and dialogue distinction is viewed as the diference between inside vs. outside
the speakers world, then this distinction is found relevant to such well-known no-
tions as self vs. others, or uchi inside vs. soto outside as seen in some representa-
tive studies below. As they permeate Japanese grammar so deeply, it also reminds
us that these exist for a reason. Table 4 summarizes sample works which use corol-
laries of the uchi vs. soto notion and their applicability in Japanese grammar.
McCawley (1978: 189190) observes that the complementizer no is more nat-
ural when the speakers own mental state is at issue as in (24a), but the other fac-
tive complementizer koto becomes more natural when others mental state is at
issue as in (24b).
(24) a. otoosan ga omae no koto o konnani shinpai shite
Father your matter this much worried
yatte-iru {no/ ?koto} ga mada omae ni wa wakara-n no ka?
for you yet yo to realize-not Q
Cant you see that I, your father, am this worried about you?!
b. minasan gata ga omae no koto o annani shinpai shite
everybody your matter that much worried
Subjectivity, intersubjectivity and Japanese grammar :o
kudasatte-iru {no / koto}
17
ga mada omae ni wa
for you yet you to
wakara-n no ka?
realize-not Q
Cant you understand yet that other people are concerned that much
about you?!
She also notes that if a piece of information such as the earth is round which the
speaker acquired from an external source is internalized, no is possible, but if it is
not yet internalized into the speakers knowledge base as in Today, I learned that the
earth is round, but I just cant believe it, then koto is possible. Watanabe (1991) ob-
serves that degree adverbs can be classifed depending on their afnity with my/
others afairs. For instance, zuibun very cannot modify my afairs such as *watashi
wa zuibun ureshii I am very happy, but it can modify a similar emotional state of
other people as in Tanaka-san wa zuibun ureshisooda It seems Tanaka is very hap-
py. In contrast, taihen very, a synonym of zuibun can modify both my and others
afairs. In a similar vein, Shinzato (2003) argues that simple tense forms are used to
express an event the speaker is experiencing, while its stativised version is used for
the event the speaker has observed. For instance, if the speaker himself is attacked,
the simple present tense as in nani o suru nda [what-OBJ-do-it is that] what are you
doing (to me)? is used; in contrast, when he catches someones unexpected behav-
ior, the stativised form as in nani o shite-iru nda [what-OBJ-do-be-it is that] what
are you doing (there)? is more likely to be used. Here again, Japanese grammars
sensitivity to self vs. others is evident. Tis territorial distinction is also seen in
Quinns (1994) account where the semantic contrast of uchi inside vs. soto outside
seen in two locative particles, ni in/at and to with/along side is carried out in sev-
eral constructions of which they are a part. To quote just one example, X ni shitemo
even given [its] being X presents presupposed, and fully internalized knowledge of
the speaker, while it is not the case with X to shite mo even supposing [it] to be X.
Seeing the correlation between synchrony, diachrony and speech modes, and
realizing what underlies such intertwinedness are the notions of subjectivity and
intersubjectivity, it would be impossible to deny the fundamentality of these no-
tions in Japanese grammar, and perhaps in the grammar of any language.
17. One may ask as to the diference between no and koto here. Tough it is not addressed
specifcally with this particular example, Akatsuka (ibid: 185) explains a similar case with the
verb matsu wait. She states that with no, the state of afairs in the complement is taken for
granted, thus, the speaker would be disappointed if it does not materialize. In contrast, with
koto, the same verb matsu is more synonymous with kitaisuru expect. Tat is, Akatsuka (ibid:
181) sees the choice between no and koto to be the diference in the degree of the speakers com-
mitment to the truth of the proposition: no indicates the speakers complete endorsement, while
koto does not show such a strong endorsement.
:o| Rumiko Shinzato
4. Conclusion
Finegan (1995) deplores the fact that the term subjectivity did not make an entry
of its own in International Encyclopedia of Linguistics, with only peripheral men-
tion of it under literary pragmatics. As discussed in this paper, faced with such
far-reaching applicability of this notion, it is clear that an attempt to construct
grammar, especially Japanese grammar, with the incorporation of subjectivity and
intersubjectivity broadens our understanding of the working of the Japanese lan-
guage. In this sense, humanistic, or better yet, real(istic) linguistics is undoubtedly
in order.
18
Real(istic) linguistics sees language not strictly as form nor as the ex-
pression of propositional thought, language not as autonomous structure not as
representing logical propositions, but language as an expression an incarnation,
even of perceiving, feeling, speaking subjects (ibid: 2). In this context, Beneve-
nistes words carry special weight: If LANGUAGE is, as they say, the instrument of
communication, to what does it owe this property?
Abbreviations
COM comitative KP kakari particle
COMP complementizer NEG negative
COND conditional OBJ object
DAT dative PERF perfect
EMPH emphasis SBJ subject
INF inference SP sentence fnal particle
INT intention TOP topic
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What typology reveals about modality
in Japanese
A cross-linguistic perspective*
Kaoru Horie and Heiko Narrog
Tis paper presents a functional-typological analysis of three linguistic
manifestations of modality-related phenomena in Japanese. When compared
with English, German, and Korean, Japanese is characterized by a modal
system that encodes event, epistemic, and evidential modalities, and a relatively
impoverished grammatical mood, as well as a rich discourse system of sentence-
fnal particles that can be grouped into speaker-oriented and hearer-oriented
particles. Te modality system in Japanese demonstrates a relatively high
degree of elaboration in formal coding of evidential and discourse modalities.
Te cross-linguistic diferences in the degrees of elaboration among diferent
subcategories of modality as presented in this study require an explanation
beyond the confnes of grammar to fnd a link between grammar and other
cognitive and communicative systems.
1. Introduction
Tense, aspect and modality, collectively referred to as TAM, are grammatical cat-
egories frequently occurring together close to the verb stem and afecting the
meaning of the co-occurring verb to varying degrees. Tere is a fundamental dif-
ference between tense and aspect, on one hand, and modality, on the other: Tense,
rather obviously, is concerned with the time of the event, while aspect is concerned
with the nature of the event, particularly in terms of its internal temporal con-
stituency (Comrie 1976: 3). (...) Modality difers from tense and aspect in that it
* Tis research was supported in part by grants from the Tohoku University 21st Century
Program in Humanities <http://www.lbc21.jp/>. Special thanks are due to Yoshi Ono and Kaori
Kabata for organizing the Functional Approaches to Japanese Grammar conference (U. of
Alberta, August 2004) and ofering extensive constructive criticism and helpful comments.
Tanks also go to Andrew Barke, Robin Coogan, Nathan Hamlitsch, Ahran Kim, Sujin oh and
Ryan Spring, for their editorial assistance.
::o Kaoru Horie and Heiko Narrog
does not refer directly to any characteristic of the event, but simply to the status of
the proposition. Modality is a semantic category concerned with the status of the
proposition that describes the event, the term proposition covering events, ac-
tions, situations, states, etc. (Palmer 2001: 1). Te semantic category of modality
is manifested grammatically in two major ways: (i) modal systems most typi-
cally illustrated by modal verbs, and (ii) mood most typically illustrated by in-
dicative vs. subjunctive moods (Palmer 2001).
Bybees seminal work on verbal afx ordering (Bybee 1985) presents a similar
observation that, among the three categories, aspect and tense are more relevant to
(or more directly afect) the meaning of the verb than mood, the latter broadly
corresponding to (ii) above. Crucially, this relative ordering in terms of semantic
relevance is refected in the ordering of aspect and tense afxes, which tend to be
placed more closely to the verb stem than mood afxes.
Te fundamental diference between modality and the other two verbal cate-
gories is also refected in the degree of ubiquity of their grammaticalization path-
ways, as pointed out by Horie (1997). Horie (1997), a critique of Bybee, Perkins,
and Pagliuca (1994) noted that grammaticalization pathways proposed for Tense
and Aspect grammatical morphemes (henceforth grams; see Bybee 1985) are
more readily applicable to Japanese (e.g., be/have > Resultative > Perfective/Sim-
ple Past) than those proposed for Modality grams (e.g. Agent-oriented Modali-
ties > Epistemic Modalities). Te greater cross-linguistic variability of modality
grams can arguably be attributed to the fact that they index the speakers opinion/
attitude toward the proposition, which can be expressed in more variable ways
cross-linguistically than temporal specifcations of the event.
Tis observation is in fact echoed by Palmer (2001: 2): In all typological stud-
ies there is considerable variation in the ways in which languages deal with gram-
matical categories, and there is probably more variation with modality than with
other categories (emphasis added). Modality is thus coded in a more varied way
than are other verbal categories like tense, aspect, and voice, as the following re-
mark elucidates: Languages have at least the following means at their disposal to
express modality: (a) modal verbs, (b)verbs denoting (various modes of) knowl-
edge and belief, (c) modal adverbs, (d) modal particles, (e) evidentials, (f) gram-
matical mood. (Kiefer 1999: 223).
Te greater cross-linguistic variability of modality grams is arguably respon-
sible for the paucity of typologically oriented studies of modality in Japanese. As
a result, despite intensive scholarly eforts engendered on the minute (and me-
ticulous) analyses of Japanese modality grams by Japanese linguists for the past
twenty or so years, it remains to be seen precisely what distinguishes Japanese
modality systems from their counterparts in other languages and what is shared
between them.
What typology reveals about modality in Japanese :::
By contrasting the mood and modality system of Japanese with those of other
languages in Sections 2 and 3, which difer from Japanese typologically to varying
degrees, we address the following questions in Section 4: (i) what is unique to the
Japanese mood and modality system relative to other languages, and (ii) what mo-
tivates the grammar of a language to have the shape it does. Section 5 presents our
conclusion.
2. Revisiting the semantic and formal categories of modality
in Japanese: A cross-linguistic assessment
Tis section frst presents an overview of semantic categories of modality and their
formal coding in linguistic typology, and then examines the language-particular
observations of Japanese modality, presented in Japanese linguistics from a typo-
logical perspective.
2.1 Modality and its formal coding in linguistic typology
Considering the greater cross-linguistic variability of modality relative to other
grammatical categories (e.g., tense) pointed out in Section 1, it is natural that lan-
guages difer rather considerably in terms of the types of modal meaning a lan-
guage preferentially elects to encode grammatically.
As for the types of modal meaning encoded in typologically diverse languages,
Palmer (2001), in a most widely cited typological study of mood and modality,
frst draws attention to the relevance of the following semantic distinction:
(1) realis and irrealis
Regarding this distinction, Palmer (2001. 1) cites the defnition of Mithun (1999:
173):
Te realis portrays situations as actualized, as having occurred, or actually oc-
curring, knowable through direct perception. Te irrealis portrays situations as
purely within the realm of thought, knowable only through imagination.
Tis distinction, though not directly relevant to Japanese, is known to have gram-
maticalized in many European languages typically by means of a contrast between
indicative and subjunctive mood, as in the following pair of English examples:
(2) a. Tey insisted that John was there. (indicative: realis)
b. Tey insisted that John be there. (subjunctive: irrealis)
::i Kaoru Horie and Heiko Narrog
Another cross-linguistically relevant semantic distinction noted by Palmer is the
following one:
(3) propositional modality
event modality
Tis distinction partially overlaps with the traditional distinction between
epistemic and deontic modalities, though the former is more inclusive than the
latter. Te distinction between propositional modality and epistemic modality is
illustrated by the following pair of examples (ibid: 7, partially modifed).
(4) a. Kate may be at home now. ~ It is possible (possibly the case)
that Kate is at home now. (propositional modality)
b. Kate may come in now. ~ It is permitted for Kate to come in now. (event
modality)
(4a) describes the speakers judgment of the proposition that Kate is at home.
(4b), in contrast, depicts the speakers attitude towards a potential future event,
that of Kate coming in (ibid: 78).
Both propositional modality and event modality are further divided into sub-
categories, but we will be concerned only with the following subcategories of prop-
ositional modality in this paper:
(5) epistemic modality
evidential modality
Epistemic modality encodes speakers judgments about the factual status of the
proposition, whereas evidential modality expresses the evidence they have for its
factual status (ibid: 8). Tese two types of modality are respectively illustrated by
the following pair of Japanese examples:
(6) a. [Asu yuki-ga huru ] kamo sirenai.
tomorrow snow-nom fall it may be
It may snow tomorrow. (epistemic modality)
b. [Asu yuki-ga huru] soo da.
tomorrow snow-nom they say
I hear it will snow tomorrow. (evidential modality)
In this paper, we will examine the grammatical means of encoding the following
three types of modality:
(7) a. event modality
b. epistemic modality
c. evidential modality
What typology reveals about modality in Japanese ::
Let us now move on to the formal/coding dimension of modal meaning from a
typological perspective. Palmer notes that there are basically two ways in which
the semantic category of modality is grammatically encoded, as in (8):
(8) a. modal system
b. mood
Modal system and mood are formally coded by one of the following three gram-
matical markers according to Palmer (p.19), who notes that modal verbs seem to
be confned to modal systems:
(9) a. modal verb
b. infection
c. individual sufxes, clitics, and particles
Tough there is not a direct correspondence between modal system/mood in (8)
and their formal manifestations (9), there is a strong tendency for modal system
(8a) and mood (8b) to be coded by modal verb (9a) and infection (9b) respec-
tively. For instance, modal system (8a) is illustrated by modal auxiliaries (modal
verb) in English (4) and Japanese (6), while mood (8b) is illustrated by indicative
and subjunctive moods in English (2). Individual sufxes, clitics, and particles
(9c) can encode various modal meanings including discursive meaning and man-
ifest discourse system, which we will introduce in this section.
Te relative degrees of prominence between the two formal means can vary
between languages as observed by Palmer:
Both may occur within a single language, e.g., in German, which has a modal sys-
tem of modal verbs and mood (indicative and subjunctive), and in Central Pomo
(...). In most languages, however, only one of these devices seems to occur, or at
least, one is much more salient than the other. (p.4, emphasis added)
As we will see closely in Section 3, Japanese belongs to a group of languages where
mood is virtually absent.
2.2 Modality and its formal coding in Japanese
Having reviewed Palmers typological survey relating to the semantic and formal/
coding dimensions of modality, we are now ready to examine the language-partic-
ular notions of modality in Japanese linguistics from a typological perspective.
In Japanese linguistics, it has been customary to divide sentence structure into
two major semantic components, i.e. proposition (variously referred to as meidai
(proposition), genpyoo zitai (the state of afairs expressed) etc.) and modality
::| Kaoru Horie and Heiko Narrog
(variously referred to as muudo (mood), genpyoo taido (the attitude with which
to express the state of afairs) etc.), as schematized and explained in (10):
(10) [Proposition] [Modality]
In modern Japanese, most researchers have come to an agreement that Japanese
sentences can be divided into a propositional content and modal content (...)
Propositional content expresses an objective statement while modal content ex-
presses a speakers subjective judgment or attitude toward the proposition. (John-
son 2003, emphasis added)
A cursory illustration of the distinction between proposition and modality is
provided by example (11) from Nitta (2000: 81), where P and M respectively
refer to the layers of proposition and modality.
(11) [M Nee tabun [P kono ame toobun yama-nai] daroo ne]
ip probably this rain for a while stop-neg it will be that ip
You see, probably it wont stop raining for a while, will it?
(Nitta 2000: 81)
Some Japanese linguists, including Yoshio Nitta and Takashi Masuoka (Nitta 1991,
2000; Masuoka 1991, 2000) propose further dividing the layer of modality into
two subcategories, i.e. modality oriented toward proposition (meidai meate no
modaritii) and modality of discourse and communication (hatuwa, dentatu no
modaritii) (see Onoe 1996 for a critique of this kind of extended view of modal-
ity). In a similar vein, Maynard (1993: 3839) introduces the notion of discourse
modality, which refers to information that does not or only minimally conveys
objective propositional message. (...) Discourse Modality operates to defne and to
foreground certain ways of interpreting the propositional content in discourse. It
is fair to say that Maynards discourse modality is parallel to Nitta and Masuokas
modality of discourse and communication. We will employ the term discourse
modality (DM) to distinguish it from modality, or modality oriented toward
proposition. Tis subdivision can be illustrated as in (11):
(11) [DM Nee [M tabun [P kono ame toobun yama-nai] daroo] ne]
You see, probably it wont stop raining for a while, will it?
Te difering degrees of relevance of modality categories to the propositional con-
tent of the sentence are iconically refected in their diferential positions, i.e. mo-
dality being situated closer to Proposition than discourse modality.
In Japanese Linguistics, two distinct types of modal meaning have been identi-
fed and respectively referred to as modality (oriented toward proposition) and
discourse modality. Tese descriptive labels seem to make sense when we con-
sider Japanese alone (see (11)). However, when we contrast modality categories in
What typology reveals about modality in Japanese ::,
Japanese with those in other languages, it is necessary to examine how such labels
are compatible with the typologically established terminology such as that em-
ployed in Palmer (1986, 2001) and Bybee et al. (1994). It is also very important to
examine what kind of grammatical means a language has available to encode and
allocate modal meaning in its sentence structure. In Japanese linguistics, much
attention has been paid to the semantic aspects of modality (see Narrog 2002a,
2005, 2009a, b), but relatively little attention seems to have been paid to its formal/
coding dimension.
Te notion of modality (modality oriented toward proposition) in Japanese
linguistics doesnt translate straightforwardly into the typologically-oriented ter-
minology introduced in Section 2.1, but seems to encompass both propositional
(epistemic and evidential) and event modalities. In terms of formal coding, mo-
dality in Japanese is manifested as a modal system of modal verbs (auxiliaries) as
we will see in Section 3. Te notion of modality in Japanese is thus not wholly
incompatible with the typologically oriented notions of modality.
Te notion of discourse modality, in contrast, appears to be less compatible
with the typologically established terminology of modality. Tis arguably refects
the fact that, unlike mood and prototypical modal systems, grammaticalized cod-
ing of a speakers discursive stance relative to the discursive content and to her/his
addressee, or discourse modality, is less prominent cross-linguistically. Palmer
(1986: 58) notes the existence of a discourse system as a (rather minor) subcate-
gory of modal systems and ofers the following observation:
1
Modals have an important part to play in discourse, as the participants express
their opinions and attitudes, and, in general, interact with one another. It is not
wholly surprising, therefore, that there are systems which are more directly con-
cerned with discourse relations.
Tough not cross-linguistically prominent, the existence of a discourse system in
Japanese is undisputable, as we will see in detail in Section 3. We therefore suggest
that when we contrast Japanese with other languages, discourse system be in-
cluded among the inventory of grammatical means to encode modality, on par
with modal system and mood as in (8), instead of being included within modal
1. A typical instance of discourse system cited by Palmer (1986: 61) is the set of sentence-fnal
particles in Mandarin Chinese (based on Li & Tompson 1981: 238f) illustrated in (a):
(a) le currently relevant state
ne response to question
ba solicit agreement
ou friendly warning
a/ya reduce forcefulness
ma question
::o Kaoru Horie and Heiko Narrog
systems as it is under Palmers classifcation, when we contrast Japanese with other
languages.
(8) a. modal system
b. mood
c. discourse system
3. Modality and its formal coding in Japanese, Korean, English, and German
Tis section provides a comparison of modality grams in Japanese and its counter-
parts in Korean, English, and German. As with other grammatical phenomena
(e.g., tense, aspect, voice), modality in Japanese has been contrasted primarily with
its English counterpart (e.g., Sawada 1995) without paying due attention to the
typological variability of the grammatical category in question. We believe that by
contrasting modality in Japanese with its counterparts in languages of difering
typological profles, such as Korean, English, and German, we can have a more
realistic and relativized picture of modality in Japanese.
Te four languages selected represent two sets of East Asian and European
languages and they each are known to exhibit intriguing morpho-syntactic and
semantic diferences (English-German and Japanese-Korean). English and
German have been contrasted extensively by Hawkins (1986) from the perspective
of Comparative Typology, a theoretical framework designed to reveal cross-
linguistic variation in form-meaning mapping based on various lexical and mor-
pho-syntactic contrasts. Similar contrasts in form-meaning mapping have been
pointed out with another pair of languages, Japanese and Korean, in a series of
works by the frst author of this paper (Horie 1998a, b, 2001, 2002a, b, 2003a, b,
Horie & Sassa 2000). In the domain of mood and modality, Horie has made at-
tempts to present a comparative study of Japanese and Korean (Horie & Taira
2002, Horie 2003b), but it has become increasingly obvious that a further cross-
linguistic comparison beyond these two East Asian languages is needed in order to
provide a better-balanced relativized picture of modality in Japanese. Building on
the previous Japanese-Korean contrastive studies of modality (Horie & Taira 2002,
Horie 2003b), we will extend our inquiry into English and German in the remain-
der of this section.
3.1 Modal systems in Japanese, Korean, English, and German
Japanese has a rather elaborate modal system of sufxes (e.g. strong inferential
daroo (I) predict), so-called formal nouns (grammaticalized nouns) plus copulas
What typology reveals about modality in Japanese ::
(e.g. evidential yoo-da (appearance-be) it appears), and other syntactic construc-
tions (e.g. weak possibility kamo sirenai it may be that) that encode event,
epistemic, and evidential modalities:
(10) Asu-wa hayaku kaet-te mo ii desu yo.
tomorrow-top early go home-may cop:pol ip
You may go home early tomorrow. (event modality)
(11) a. [Asu yuki-ga huru] kamo sirenai.
tomorrow snow-nom fall it may be
It may snow tomorrow. (epistemic modality)
b. [Asu yuki-ga huru] soo da.
they say
I hear it will snow tomorrow. (evidential modality)
We can see that the polysemy in terms of event-epistemic modality (e.g., two pri-
mary senses of may in English), which is prevalent in European languages, is ab-
sent in Japanese. It must be noted, however, that the event-epistemic polysemy was
observable in Classical Japanese, as was the case with mu (encoding a speakers
volition and prediction/conjecture) and besi (encoding both event and epistemic
modality senses of should) (cf. Narrog 2002b).
A similar allocation of modality meanings by means of sufxes, formal nouns
with copulas, and other syntactic constructions, is observable in Korean (Korean
examples are from Horie 2003b unless otherwise noted):
(12) a. Yeki-se tampay-lul phiwe-to toy-pnikka?
this place-loc cigarette-acc smoke-even good-pol:q
May I smoke here? (event modality)
b. Ce-nun naynyen-ey hankwuk-ey kal ci to molu-pnita.
I-top next year-loc Korea-to go:adn:fut may-pol:ind
I may go to Korea next year. (epistemic modality)
c. Nwu-ka wa-ss na pota.
someone-nom come-past seem:ind
I think/It seems that someone is here.(evidential modality)
(Martin 1992: 705)
It is important to note, however, that Korean behaves diferently from Japanese in
terms of the grammatical coding of modal meanings. First, unlike Japanese, Korean
has a verbal sufx that encodes both event and epistemic modalities, i.e. -keyss-:
::8 Kaoru Horie and Heiko Narrog
(13) a. Na ton an pat-keyss-tako yayki-n ha-n
I money neg receive-keyss-quot story-top say-adn:past
cek eps-e.
occasion not exist-ind
I have never said that I wouldnt receive money. (event modality)
(b) Nakksi-yo? Eme, nemwu caymiiss-keyss-ta...
fshing-pol ah very interesting-keyss-ind
(Are you) fshing? Ah, it looks very interesting. (epistemic modality)
Secondly, Korean has a sufx -te- (realized alternately as -ti- or -t-) that encodes
retrospective evidential modality, or the speakers past perception, observation,
or experience in declaratives and the hearers in interrogatives (Sohn 1994: 47), as
in (14), where -tela encodes the speakers recollection of a past experience:
(14) Pangkum cen-ey kasstaw-ass-nuntey uysik-i
just now before-in go and visit-past-conj consciousness-nom
eps-usi-tela.
not exist-hon-retro:ind
I visited (the patient) just a while ago, but (the patient) was unconscious.
Tis kind of retrospective modality is not grammatically coded in Japanese mod-
al systems, again pointing to a diference in the organization of the modal systems
between Korean and Japanese. It should be noted, however, that a similar modal
meaning was expressible in Old Japanese by means of a modal sufx keri.
English and German behave similarly in terms of the shared coding of event
and epistemic modalities, a commonly observed phenomenon within and beyond
European languages:
(15) a. You must leave now. (event modality)
b. He must be tired. (epistemic modality)
(16) a. Dieses Problem muss gelst werden
this problem mod solved become
Tis problem must be solved. (event modality)
b. Hans muss jetzt schn in Edmonton angekommen sein.
Hans mod now already in Edmonton arrived be
Hans must have already arrived in Edmonton by now. (epistemic)
Tere is a crucial diference between English and German modal systems in terms
of evidential modality. Unlike English, German has a set of modal auxiliaries that
can encode evidential meaning, as in (17):
What typology reveals about modality in Japanese ::
(17) Hans soll jetzt schon in Edmonton sein.
Hans mod now already in Edmonton be.
(According to some third person) Hans is already in Edmonton now.
(evidential modality)
A contrastive summary of modal systems in the four languages is presented in
Table 1.
From Table 1, we can see that the modal system in Japanese, not surprisingly,
is more similar to that in Korean than to the two other languages in terms of its
morpho-syntactic inventories. Specifcally, both Japanese and Korean modal sys-
tems are composed of periphrastic constructions and more synthetic sufxes,
while English and German modal systems are almost exclusively composed of
auxiliaries. However, when we take a closer look at the composite semantic catego-
ries of modality in the four languages, we get a more relativistic, continuous pic-
ture of cross-linguistic variation, as illustrated in Table 2:
Table 1. Modal systems in Japanese, Korean, German, and English
Japanese Korean German English
Sufxes (-da roo,
beki-da, -soo-da,
-mitai-da, -rasii, -tai,
-(r) (ar)eru, -uru,
etc.)
Formal noun (yoo-da,
mono-da, etc.)
Syntactic construction
(-ka-mo sire nai, na-
kereba naranai, -te-
mo ii, -te hosii, etc.)
Sufxes (-te-,-ti-,
-tey- etc. (retro-spec-
tive), -keyss- (speak-
ers intent, conjec-
ture), -ess- (irrealis:
conditonal clause),
etc.)
Formal noun (-kes
kathta, -swu issta
etc.)
Syntactic construc-
tion (-ci moluta, -to
toyta, ...)
Modal auxiliaries
(mssen, drfen,
knnen, wollen,
sollen, mchten)
Semi-modal
auxiliaries (brauchen,
scheinen)
Auxiliaries (ist zu,
haben zu)
Modal auxiliaries
(must, can, may,
should, will, shall,
ought to, etc.)
Semi-modal
auxiliaries (seem to,
want to, etc.)
Auxiliaries
(is to, has to)
Verbal sufxes and
periphrasis
systematically
present
Verbal sufxes and
periphrasis system-
atically present;
synthetic nature of
sufx more mani-
fested than in
Japanese (e.g.,
keyss-)
Modal auxiliaries and
semi-modals
systematically
present
Modal auxiliaries and
semi-modals
systematically
present
Modal systems elaborately developed and playing more prominent roles than grammatical mood in all
four languages.
:io Kaoru Horie and Heiko Narrog
Table 2. Semantic categories of modality and their formal manifestations contrasted
Japanese Korean German English
Event
Modality
nakereba naranai, -te
mo ii,-beki-da, -(y)
oo, -tai, etc.
-ya hata/toyta,
-to toyta/cohta,
-keyss, -ko
siphta, etc.
mssen, knnen,
drfen, brauchen, wol-
len, mchten, sollen,
haben zu
must, can, should,
may, ought to, shall,
will, have to
Epistemic
Modality
-daroo,
-ka-mo sirenai,
-ni tigai nai, -hazu
da etc.
adverbs
-keyss
-nun/n/l
ci moluta
-nun/n/l
tus hata
adverbs
mssen, knnen,
drfen, mgen
conditional adverbs
must, can, should,
may, ought to
adverbs
Evidential -yoo-da,
-mitai-da, rasii,
-soo-da
-te-, -tey
-na pota, -nun/n/l
moyang-ita
sollen, wollen,
(mchten)
Virtually
absent
Evidential modality is highly grammaticalized in Japanese and Korean, while it is absent in English, with
German situated in between.
German and English systematically exhibit polysemy in event and epistemic modalities, while Korean does
so only sparingly and Japanese virtually lacks such polysemy.
Table 2 demonstrates that both German and English exhibit event-epistemic modal
polysemy, i.e., a single auxiliary encoding both modalities (e.g., English must, Ger-
man mssen), a phenomena virtually absent in Japanese and Korean except for Ko-
rean -keyss that encodes both modalities. It must be noted that Old Japanese exhib-
ited such polysemy abundantly, e.g., mu, besi (cf. Horie 1997, Narrog 2002b).
Another interesting observation is that, as far as evidential modality is con-
cerned, English is virtually lacking in this category in striking contrast to Japanese
and Korean. Te latter two languages have a rich system of evidentials, with some
interesting cross-linguistic diferences observed such as the absence versus pres-
ence of the retrospective evidential modality encoding. German is an interesting
case in point in that it has hearsay evidential auxiliaries like sollen unlike English.
3.2 Mood in Japanese, Korean, German, and English
Mood, or verbal infection whose primary function is to encode the distinction
between realis and irrealis, is not a prominent grammatical feature in Japanese.
Unmarked conclusive (sentence-fnal) verb forms in Japanese, which primarily
encode non-past or past tense, do not overtly encode indicative mood, as in (18):
(18) a. Gohan-o mainiti taberu.
rice-acc every day eat:nonpast
I eat rice every day.
What typology reveals about modality in Japanese :i:
b. Gohan-o mainiti tabeta.
eat:past
I ate rice every day.
Overt marking of modal meaning by infectional forms is thus limited to the con-
clusive verb forms marking propositive and imperative mood, as in (19):
(19) a. Gohan-o tabe-yoo.
eat-propos
Lets eat.
b. Gohan-o tabe-ro.
eat-imp
Eat!
Similarly to Japanese, Korean has overt conclusive verbal forms encoding prop-
ositive and imperative mood, as in (20):
(20) a. Ka-ca.
go-propos
Lets go. (plain style)
b. Ka-kela (plain style, used by elderly (Ahran Kim, p.c.))
Go !
Unlike Japanese, however, Korean has conclusive verbal forms that encode
indicative mood and interrogative mood, as in (21):
(21) a. Cikum pakkey pi-ka manhi o-n-ta.
now outside rain-nom much come-pres-ind
It is raining heavily outside.
b. Cikum pakkey pi-ka manhi o-nunya?
now outside rain-nom much come-Q
Is it raining heavily now outside?
Furthermore, Korean has an adnominal verbal ending (u)l that encodes irrealis
(future/probability), as in (22):
(22) ka-l salam
go-adn:fut person
the person who will/is supposed to go
In German, compared to English, mood is still alive and present, relatively speak-
ing. It has two types of subjunctive mood, i.e. Subjunctive I and Subjunctive II, to
mark subordinate clause, irrealis, and quotation:
:ii Kaoru Horie and Heiko Narrog
(23) a. Sie sagte, sie habe jetzt genug von allem.
she said she has.subji now enough of all
She said that she had enough of all that. (subjunctive I marking indi-
rect speech)
b. Mit etwas mehr Glck htte ich hier gewonnen.
with a little more luck have.subjii I here won
With a little more luck I would have won here. (subjunctive II as ir-
realis)
In English, in contrast, mood is clearly dying out. Subjunctive verb forms have
survived only as the marked forms of were in conditional clauses and as citation
forms in complement clauses to a limited number of directive verbs like suggest, as
in (24):
(24) a. If you were here, we would be very happy.
b. Te director suggested that all the staf members be punctual.
A contrastive summary of mood in the four languages is presented in Table 3.
Table 3. Mood (Verbal infection)
Japanese Korean German English
Mood encoded by
conclusive form
V + (r)u (unmarked)
V + ta (unmarked)
V + (y)oo
(propositive)
V + e/ro
(imperative)
Mood encoded by
conclusive form
V + ta, -e, -ney, etc.
(indicative)
V + ca, -sey, etc.
(propositive)
V + nya, -ni, etc.
(interrogative)
V + (e)la, -key, etc.
(imperative)
Mood encoded by
attributive form:
-(u)l (irrealis)
Indicative (unmarked)
Imperative (unmarked)
Subjunctive:
Subjunctive I: V+e
Subjunctive II: V
(Prt/umlaut)
+e/ wrden + V
Function: Marking
of subordinate clauses,
irrealis, quotation
Indicative (unmarked)
Indicative (unmarked)
(Subjunctive: citation
form in a limited num-
ber of complement
clauses to directive
verb, suppletive form
were in conditional
clauses
Verbal infection
partially coding
modal meaning, but not
represent- ing gram-
matical mood
as a whole
Verbal infection cod-
ing modal
meaning more
overtly than
Japanese
Indo-European mood
systems partially
preserved
Indo-European mood
systems virtually
disappearing
What typology reveals about modality in Japanese :i
Table 3 indicates that grammatical mood is still alive and well in German, main-
taining an indicative-subjunctive distinction, while it has virtually ceased to func-
tion in English barring a very limited number of syntactic environments (e.g.
complements to a limited number of directive verbs like advise).
More controversial are the statuses of mood in Japanese and Korean, i.e.
whether it is proper to consider verbal sufxes encoding modal meanings in these
languages as representing grammatical mood in the same way that verbal infec-
tions do in European languages. As we adopt a typological approach in this paper
that treats the function of a linguistic form as constant and its formal manifesta-
tion as variable in this paper, we will consider verbal sufxes in Japanese and
Korean, which encode (ir)realis meaning to represent grammatical mood.
Japanese has a very limited number of verbal afxes with modal meaning, so it is
safe to say that mood plays a very limited role, if any, in Japanese. Tough it is a
matter of degree, Korean appears to manifest grammatical mood more overtly
than Japanese does in that it has verbal sufxes positively marking indicative
mood, e.g. V-ta. By comparing Tables 1 and 3, we can conclude that, for English,
Japanese, and Korean, modal systems play more prominent roles than grammati-
cal mood. In German, however, the division of labor between modal systems and
mood is better balanced than it is for the other three languages.
3.3 Discourse systems in Japanese, Korean, English, and German
Discourse systems, i.e. modals indexing discourse relations among participants
typically coded by modal particles, is not a major topic of discussion in Palmer
(1986) or its second edition (2001). However, discourse systems merit our atten-
tion as they exhibit high systematicity in Japanese, leading to the postulation of
Discourse Modality (or Modality of Discourse and Communication) (cf. 11) in
Japanese linguistics.
As discussed by Horie and Taira (2002), Japanese and Korean difer, rather
strikingly, in terms of the diferential degrees of elaboration of their discourse sys-
tems. Japanese has a highly elaborate system of sentence-fnal particles that are
divided into speaker-oriented particles or addressee-oriented particles:
(25) a. (speaker-oriented) yo, ze, zo
b. (addressee-oriented) ne, na
(26) a. Ame-ga huri hazime-ta yo.
rain-nom fall begin-past sfp
It has started raining, as I can assure you (e.g. the speaker telling his
interlocutor about the weather on his end.
:i| Kaoru Horie and Heiko Narrog
b. Ame-ga huri hazime-ta ne.
rain-nom fall begin-past sfp
It has started raining, as we can see (e.g. the speaker telling his inter-
locutor about the rain they are watching together).
Similar to Japanese, Korean has a set of sentence-fnal sufxes, as in (27):
(27) -ci, -kwun(a), -ney etc.
(28) a. Na-nun mos ka-ci-yo.
I-top cannot go-sup-pol
I am unable to go, I suppose. (Sohn 1994: 353)
b. Nwun-i o-nun-kwun.
snow-nom come-pres-app
It is snowing! (Sohn 1994: 354)
Unlike Japanese sentence-fnal particles, however, Korean sentence-fnal particles
do not constitute a uniform set with similar discursive functions such as (28a, b),
and some of them, e.g.-ci and -kwun(a), respectively encoding a speakers sup-
position (Sohn 1994) and newly made inference (Lee 1991, Choi 1995), are
more properly regarded as markers of evidential modality, as suggested by Horie
and Taira (2002).
German is again an interesting case in point. Unlike English, which virtually
lacks this grammatical category, German has a set of so-called modal particles
which apparently serve some discursive functions (29):
(29) doch (afer all, though, just, truly, surely...)
schon (never fear, no doubt, surely, as a matter of course) denn
(evidently, as is well known, as I learn...) etc. (Palmer 2001: 60)
Tese modal particles can relate the content of speech to the immediate discourse
context, as in (30a), or serve some interactive (addressee-oriented) function, as in
(30b), where doch serves to mitigate the speakers utterance:
(30) a. Ich habs doch immer gewusst.
I have.it mod always known
I have always known that. (and now it turns out to be true/but you
wouldnt listen to me etc.)
b. Halt doch deine Klappe!
keep.shut mod your mouth
Keep your mouth shut.
A contrastive summary of discourse systems is presented in Table 4:
What typology reveals about modality in Japanese :i,
Table 4. Discourse systems in Japanese, Korean, German, and English
Japanese Korean German English
Sentence-fnal particles
(yo, ne, zo, sa, na etc.)
Sentence-fnal sufxes
(-ci, -ney, -kwuna etc.)
Modal particles (doch,
aber, auch, blo, denn etc.)
Virtually absent
Divided into Speaker-
oriented or Hearer-
oriented particles
Speaker-oriented
meaning or
evidentiality coded
Serve to ft the content
of an utterance to the
content of speech
Virtually absent
Japanese sentence-fnal particles can be divided into Speaker-oriented group (yo, ze, zo, sa etc.) and
Hearer-oriented group (ne, na etc.). Korean and German counterparts apparently lack the latter category.
English lacks this modal category altogether, primarily resorting to intonation and lexical means.
Japanese has a set of modal particles whose functions are oriented to either of two
major discourse participants, i.e. speaker (represented by particle yo) and hearer
(represented by ne). Korean and German, though possessing the category of mod-
al particles category, do not appear to exhibit similar orientation to discourse par-
ticipants unlike their Japanese counterparts. Korean and German modal particles
are apparently more oriented toward the content of the utterance than to the
discourse participants (see Horie & Taira 2001 for a detailed contrast between
Japanese and Korean discourse systems). Tis modal category is entirely lacking in
English
2
, which primarily resorts to intonation and lexical means to index dis-
course relations between speaker and hearer.
4. Why does Japanese have the distribution of modality categories
it has? A communicative-discursive perspective
Our contrastive study in Section 3 doesnt necessarily present a neat demarcation
of modality categories along geographical or genetic groupings. What emerges
from our contrastive study is a more relativistic, continuous spectrum of modal
categories distributed across the four languages. Te four languages contrasted are
shown to manifest slightly difering distributions of modal categories.
In terms of the grammatical coding of modal meanings, the four languages
exhibit the difering degrees of elaboration, as shown in (31). Bold and ( ) indicate
the greater and lesser degrees of elaboration respectively, while its absence indi-
cates the virtual absence of grammatical coding:
(31) a. modal system: [J, K, G, E]
b. mood: [(J), K, G, (E)]
c. discourse system: [J, (K), G]
2. See Abraham 2009 for a contrast between German and English.
:io Kaoru Horie and Heiko Narrog
In terms of the types of modal meanings grammatically coded, the four languages
exhibit the following cross-linguistic variation as in (32). Please note that the sym-
bols (a)(c) in (31) and (32) indicate the correspondence between the types of
grammatical marking and the types of modal meaning coded therein:
(32) a. event modality, epistemic modality: [J, K, G, E]
a. evidential modality: [J, K, G]
b. realis/irrealis: [(J), K, G, (E)]
c. discourse modality: [J, (K), G]
How can we interpret the cross-linguistic distribution of formal and seman-
tic categories of modality presented in (31) and (32)? As stated in the preceding
sections, we adopt a functional typological approach to grammar. Tis approach
pays close attention to its communicative and discursive foundations in line
with the research frameworks of Discourse and Grammar by Du Bois (1987,
2003) and Typological Discourse Analysis by Myhill (1992). Specifcally, we
see grammar of a particular language not as a highly abstract and static compe-
tence-driven system of knowledge but as an emergent, dynamic set of commu-
nicative-discursive practices preferred in that linguistic community, some of
which are highly grammaticalized and other parts of which are subject to vary-
ing degrees of conventionalization (see also Hopper 1998, Horie 2004, Narrog &
Horie 2005). In what follows, we present a relativistic view of Japanese grammar,
in this case modality, and the communicative-discursive motivations for its
language-particular distribution, in comparison to the grammars of the other
three languages.
Among the four languages, English exhibits the least degree of elaboration in
terms of grammatical coding of modal meanings in general, whereas German is
shown to give overt encoding to all four types of modal meaning (32). Tis con-
trast ties in with the observation presented in Hawkins comparative typological
study (1986) of English and German in terms of form-meaning correspondence. It
was suggested there that English consistently tends toward greater surface struc-
ture ambiguity than German. In other words, German favors form-meaning trans-
parency to a greater extent than English. Tis contrast in terms of form-meaning
mapping holds in the domain of mood and modality. German thus elects to code
all four types of modal meaning, whereas English does so rather sparingly. It has
turned out that Japanese and Korean are situated in between the two poles in terms
of the degree of explicit grammatical coding of modal meanings, as shown in (32).
Tis suggests that Japanese and Korean prioritize diferent types of modal mean-
ing among the four types, as discussed in Horie and Taira (2002).
Japanese manifests itself as a language that has a modal system that encodes
event, epistemic, and evidential modalities, a relatively impoverished grammatical
What typology reveals about modality in Japanese :i
mood, and a rich discourse system of sentence-fnal particles that can be grouped
into speaker-oriented and hearer-oriented ones. Relative to the other languages
contrasted, the modality system in Japanese can be characterized by the rela-
tively high degree of elaboration in formal coding of evidential and discourse
modalities.
As for the prominence of evidential modality in Japanese, it was suggested in
Horie (2000) that Japanese prioritizes the semantic distinction between directly
perceived phenomena (typically visually perceived phenomena) and indirectly
perceived (e.g., inferred) phenomena, leading to an elaborate system of comple-
mentation and a lexicon sensitive to this distinction (e.g., no, tokoro vs. koto, mono
vs. koto) (see Makino (1983) for a similar observation). It is not unreasonable to
assume that this socio-cultural preference, which may be deeply rooted in the
Japanese culture from an ancient period of its history, is responsible for the devel-
opment of grammaticalized evidential modality, already present in the Old
Japanese auxiliaries such as rasi, kemu, and the distinction between past auxiliaries
ki (directly experienced past) and keri (indirectly inferred past).
Te relatively impoverished mood coding in Japanese presents a rather strik-
ing contrast with Korean, which has an elaborate system of marking modal mean-
ings by verbal infectional sufxes, some of which are sensitive to the coding of
realis and irrealis. As suggested by Horie (2000), Korean appears to prioritize the
semantic distinction between realis and irrealis over that between directly per-
ceived phenomena and indirectly perceived phenomena, which is prioritized in
Japanese. Te greater/lesser degrees of elaboration of mood-marking infectional
sufxes between Korean and Japanese are an indication of this cross-linguistic dif-
ference. Tis diference is also arguably refected in the diferential semantic foun-
dations of complementizer choice between Korean and Japanese, i.e., (u)m (realis)
vs. ki (irrealis) in Korean, and no/tokoro (directly perceived phenomena) vs. koto
(indirectly perceived phenomena).
What then is the motivating factor behind the high elaboration of the dis-
course system in Japanese? In Horie (2002a, 2003a), based on morpho-syntactic
contrasts between Japanese and Korean, it was suggested, by drawing explana-
tory insights from Hawkinss (1986) contrastive study of English and German,
that the difering degrees of tightness in form-meaning mapping between the
two languages may be a refection of diferent priorities in underlying cognitive-
functional principles, form-meaning isomorphism (transparency) and economy.
Specifcally, it was argued that the greater emphasis on form-meaning mapping
isomorphism in Korean and that on economy in Japanese are correlated with dif-
fering socio-cultural communicative norms between the two linguistic commu-
nities, i.e. prioritization of getting ones message across without being misunder-
stood (Korean) versus that of contextual disambiguation of what is implicated
:i8 Kaoru Horie and Heiko Narrog
(Japanese). Horie and Taira (2002) posited that the tendency toward context-
dependent ambiguity resolution leads to the development of grammatical re-
sources such as sentence-fnal particles in Japanese that closely monitor the fow
of information between discourse participants. Tis arguably led to the promi-
nence of formal coding of discourse modality in Japanese. In contrast, the ten-
dency toward clarity/explicitness of coding was argued to be responsible for the
development of mood-marking sufxes in Korean, which are more closely relat-
ed to the realis/irrealis status of the propositional content. Tis contrast was il-
lustrated in Horie and Taira (2002: 188, partially modifed) as in (33) (see ex-
ample (11) for the notation):
(33) [Discourse structure[Sentence structure: [proposition] [M] [DM]]]
K>J J>K
We can see from (33) that Japanese and Korean manifest diferential preferences in
terms of the types of modal meaning they elect to encode grammatically.
Trough our extended contrastive study incorporating English and German,
we observed that languages difer, rather considerably, in terms of the types of
modal meaning grammatically encoded, the formal means employed to encode
modal meaning, and, more importantly, in terms of the degree of elaboration in
grammatical encoding. German was shown to pay due overall attention to the
coding of diferent types of modal meaning, while English was shown to be rather
selective, in line with the overall contrast between the two languages in terms of
the tightness of form-meaning mapping suggested by Hawkins (1986). Japanese
and Korean are situated in between the two poles, and their diferential choices are
arguably infuenced by the diferent socio-cultural communicative norms between
the two linguistic communities.
What we have ofered as motivating factors for the particular makeup of the
Japanese Modality system need further verifcation by related disciplines like cul-
tural anthropology and comparative cultural studies. However, compared to such
grammatical categories as tense and aspect, it does not seem unreasonable to as-
sume that modality, which exhibits greater cross-linguistic variability, is more
intimately afected and shaped by the particular socio-cultural communicative
priorities of the linguistic community.
5. Conclusion and implications for grammar
From a functional-typological perspective, this study presents a critical assess-
ment of defnitions of the grammatical category of modality based on the speakers
What typology reveals about modality in Japanese :i
subjective attitude/opinion, widely circulating within the Japanese linguistic
community.
3
Typological studies on modality, notably Palmer (2001), are shown to be high-
ly suggestive in that they provide us with cross-linguistically applicable terminol-
ogy. Our contrastive study of modality grams in Japanese, Korean, English, and
German confrms the importance of relativizing the modality system in Japanese
by employing typologically established terminology and contrasting it with its
counterparts in other languages.
Te preceding analyses have the following implications for the study of
Grammar:
(I) Grammar as a refection of socio-cultural cognition and communicative
practices.
Grammatical categories such as modality are useful abstractions employed in lin-
guistic analysis. However, abstractions can prevent us from recognizing the fact
that grammar is employed by real people living in a particular linguistic commu-
nity and exercising specifc socio-cultural practices.
Recent years have witnessed a convergence of typological research interest on
(socio-cultural) cognitive and communicative foundations of grammar, as repre-
sented by the emerging research disciplines such as Cognitive Typology (Kemmer
2003; Horie 2002b; Horie & Pardeshi 2009; see also Heine 1997), Ethnosyntax
(Enfeld 2002; see also Enfeld & Levinson 2006), Discourse and Grammar (Du
Bois 2003; Ariel 2009), and Grammar-in-Interaction (Ford, Fox & Tompson
2003). Tese approaches do not take grammar to be an autonomous system. In-
stead, grammar is viewed as an open system closely interacting with other cogni-
tive and socio-cultural systems like perception, inference, discourse organization,
communicative practices, and culture.
Te cross-linguistic diferences in the degree of elaboration among diferent
subcategories of modality presented in this study require an explanation, which
3. Refecting continuing interest in modality phenomena, a collected volume on foundational
issues and recent advances in the study of modality was published (Frawley 2006). de Haan
(2006), included in Frawley (2006), ofers a useful survey of expressions of modality from a typo-
logical perspective. In regards to modality phenomena in Japanese, a collected volume with the
title Japanese Modality (Pizziconi & Kizu 2009), and a monograph entitled Modality in Japanese
(Narrog 2009a: See also Narrog 2009b) were published recently. Te former is based on a selec-
tion of papers presented at the international conference on Revisiting Japanese Modality held at
SOAS of the University of London in 2006. Moriya and Horie (2009), included in Pizziconi and
Kizu (2009), ofers a contrastive and historical linguistic analysis of the Japanese modal system
based particularly on a comparison with its Korean counterpart. Sawada (2012, in press) are a
collection of the most recent papers dealing with theoretical and analytical issues in the study of
Japanese modality (see Horie, in press, and Narrog, in press, included in Sawada, in press).
:o Kaoru Horie and Heiko Narrog
entails going beyond the confnes of grammar and fnding a link between gram-
mar and other cognitive and communicative systems.
(II) Grammar as the interface of indigenous descriptive tradition and typo-
logical analysis.
Grammatical categories like modality are not just abstractions; they have concrete
manifestations in a particular language. As such individual languages have indig-
enous descriptive grammatical traditions, which may be very elaborate with vari-
ous language-particular ramifcations. Te traditional descriptive approaches to
modality in Japanese outlined in Section 2.2 are one such example.
We should not dismiss such indigenous descriptive grammatical traditions alto-
gether as they can ofer insight into the language-particular classifcation and orga-
nization of grammatical categories (e.g., part-of-speech system). At the same time,
we should not be misled by the idiosyncrasies involved in indigenous descriptive
terminology. Modality in Japanese is a prime example of a grammatical category at
the intersection of rich indigenous descriptive traditions and typological analysis,
with not much interaction between them until now. A typological approach such as
the one exercised in this paper can thus serve as a reality check for language-partic-
ular grammatical analyses and terminology (see also de Haan 2006).
Abbreviations
ACC Accusative NEG Negative
ADN Adnominal POL Politeness
APP Apperceptive PAST Past
CONJ Conjunctive PRES Present
COP Copula PROPOS Propositive
FUT Future Q Question
IMP Imperative QUOT Quotative
IND Indicative RETRO Retrospective
IP Interactional Particle SUBJ Subjunctive
LOC Locative SUP Suppositive
MOD Modal TOP Topic
NOM Nominative
What typology reveals about modality in Japanese ::
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part 2
Frequency, interaction and language use
If rendaku isnt a rule, what in the world is it?
Timothy J. Vance
Te morphophonemic voicing phenomenon in Japanese known as rendaku is
highly irregular, but several factors are believed to make rendaku more or less
likely. Tis paper reviews some experiments intended to test the psychological
reality of three such factors: Lymans Law, the semantic relationship between
the two elements in noun + verb compound nouns, and salient semantic or
phonological resemblances between novel compounds and existing compounds.
Te evidence suggests that each of these factors has at least a detectable efect on
responses in experimental situations. Any realistic overall account of rendaku
will have to incorporate a signicant degree of intractable irregularity, but it will
also have to be consistent with the intuition of nave native speakers that rendaku
is predictable.
1. Introduction
Many Japanese morphemes exhibit a well-known voicing phenomenon called
rendaku .
1
Such a morpheme has one allomorph beginning with a voiceless
obstruent and another allomorph beginning with a voiced obstruent. An example
is a morpheme meaning bird: it appears with voiceless initial /t/ in /tori/ bird
and in /tori + kago/ birdcage (cf. /kago/ cage), and it appears with voiced
initial /d/ in /hai + dori/ hummingbird (cf. /hai/ bee). When a mor-
pheme shows this kind of alternation, the allomorph that begins with a voiced
obstruent can appear only non-word-initially, and it is customary to say that
rendaku occurs in a word that contains this allomorph. Tus, in the examples in-
volving /tori/~/dori/, rendaku occurs in /hai + dori/. Also, it is convenient to refer
to an allomorph that begins with a voiced obstruent as the voiced allomorph or
the rendaku allomorph of the relevant morpheme. In the case of /tori/~/dori/
1. Martin (1952: 48) ofers sequential voicing alternation as an English translation of the
Japanese technical term rendaku. Te phenomenon is now widely known among linguists, and
many recent publications in English refer to it as (Japanese) rendaku.
:8 Timothy J. Vance
bird, the voiced allomorph is /dori/. Te examples in (1) show all the pairs of al-
ternating phonemes that fall under the rendaku label.
2
(1) a. /f/~/b/ /fune/ boat /kawa + bune/ river boat
b. /h/~/b/ /hako/ box /hai + bako/ chopstick case
c. /t/~/d/ /tama/ ball /me + dama/ eyeball
d. /k/~/g/ /kami/ paper /kabe + gami/ wallpaper
e. /c/~/z/ /cuka/ mound /ari + zuka/ anthill
f. /s/~/z/ /sora/ sky /hoi + zora/ starry sky
g. //~// /ikara/ strength /soko + ikara/latent strength
h. //~// /irui/ symbol /ya + irui/ arrow symbol
Notice that /b/ alternates with /f/ (as in /fune/~/bune/) and with /h/ (as in /hako/~
/bako/), not with /p/. Te /f/~/b/ and /h/~/b/ alternations reect the that /f/ and /h/
in native Japanese words are both descended from a single phoneme that was once
pronounced [p].
3
Notice also that /z/ alternates both with /c/ (as in /cuka/~/zuka/)
and with /s/ (as in /sora/~/zora/), and that // alternates both with // (as in
/ikara/~/ikara/) and with // (as in /irui/~/irui/). Tese pairings reect the
mergers of voiced fricatives and africates in Tokyo Japanese, that is, the loss of
earlier phonemic distinctions between [z] and [dz] and between [] and []. Be-
cause of all these changes, the diference between the paired voiced and voiceless
obstruents in (1) is ofen more than just the presence or absence of voicing.
It is not immediately obvious that all the alternating phoneme pairs in (1) should
be treated as instances of a single phenomenon. Te same sort of question arises in
connection with the three parallel voiceless/voiced fricative alternations in English
nouns: /f/~/v/ (as in /wlf/ wolf versus /wlv + z/ wolves), //~// (as in /b/ bath
versus /b + z/ baths), and /s/~/z/ (as in /haus/ house versus /hauz + z/ houses).
Tese three English pairings are all phonetically parallel, but many noun morphemes
end in /f/ or // both in the singular and in the plural (e.g., reef /rif/ versus reefs
/rif + s/, myth /m/ versus myths /m + s/), house is the only morpheme that shows
the /s/~/z/ alternation, and no morpheme shows a parallel //~// alternation. It is
far from certain that ordinary native speakers of English intuitively recognize the
three fricative alternations as instances of a single more abstract phenomenon.
When it comes to rendaku, however, there is no real doubt that native speakers
of Japanese see all the alternations in (1) as instances of a single more general phe-
nomenon, in spite of the phonetic complications noted above. One likely reason is
2. Te phonemic transcriptions of modern Japanese in this paper follow the analysis I adopt-
ed in Vance (1987: 947). I assume a uniform phonemic inventory for all vocabulary strata.
3. For details on the changes that earlier [p] has undergone, see Kiyose 1985; Hamano 2000;
and Unger 2004.
If rendaku isnt a rule, what in the world is it? :
that the Japanese rendaku alternations are much more widespread than the English
fricative alternations. Te Japanese alternations appear in a very large number of
morphemes, while the English alternations are conned to a small set of noun
morphemes. At the same time, almost any preceding compound element or prex
provides an environment for the voiced allomorph of an alternating Japanese mor-
pheme. In the English case, the plural morpheme is the only environment for the
allomorphs ending with a voiced fricative.
4
Te Japanese writing system provides what is probably an even more powerful
reason for native speakers to see the rendaku alternations as a unitary phenomenon:
modern kana spelling represents all the alternations in exactly parallel fashion. Te
kana voicing diacritic called dakuten represents more than just the addition of
voicing in some cases, and the relationships between kana symbols with and with-
out the voicing diacritic mirror the alternations shown in (1) above. For example,
the diacritic is added to the symbols for /ta/ , /sa/ , /ka/ , and /ha/ to write
the syllables /da/ , /za/ , /ga/ , and /ba/ . Because of the two mergers of
voiced fricatives and africates, each of the syllables /zu/, /i/, /a/, /o/, and /u/ has
two possible spellings. In most cases, the diacritic is added to /su/ , /i/ , /a/
, /o/ , and /u/ to write /zu/ as , /i/ as , /a/ as , /o/ as
, and /u/ as .
5
But when a morpheme has a voiceless allomorph that begins
with one of /cu/ , /i/ , /a/ , /o/ , and /u/ , the practice is to
write its voiced allomorph by simply adding the diacritic and writing /zu/ as , /i/
as , /a/ as , /o/ as , and /u/ as . As a result, in terms of kana spell-
ing, rendaku is just the addition of the dakuten diacritic, as in for /ari +
zuka/ anthill (compare for /cuka/ mound) and for /
soko + ikara/ latent strength (compare for /ikara/ strength).
2. Fundamental irregularity
According to Okumura (1955), it is extremely difcult to specify when rendaku
occurs, although there are certain tendencies. Tis candid assessment could
4. In a few cases, an alternating English noun morpheme is also related to a verb with a stem-
nal voiced fricative. For example, the verb house is pronounced /hauz/, just like the allomorph
of the noun morpheme that appears in the plural. Tere are also some examples of a verb stem
ending in // that has a diferent vowel than the related noun. One of these is bathe /be/, with
/e/ instead of the // of bath /b/. Given the diferences in meaning, the noun and verb in such
a pair presumably cannot be analyzed as just allomorphs of the same morpheme.
5. Te situation was quite diferent before the postwar orthographic reforms of 1946. See
Seeley (1991: 104125, 153154) for discussion of the diferences between prewar and postwar
kana spellings.
:|o Timothy J. Vance
perhaps be improved slightly by replacing the words extremely difcult with the
word impossible; certainly nothing in the half century of subsequent research on
rendaku suggests that Okumura was overly pessimistic.
Te rendaku alternations are fundamentally irregular in two ways. First, there
are morphemes that never exhibit rendaku, even though no putative constraint
would be violated.
6
Te second elements in the three compounds in (2) are mor-
phemes of this type.
(2) /suna + kemuri/ clouds of sand (cf. /kemuri/ smoke)
/asa + cuyu/ morning dew (cf. /cuyu/ dew)
/kucu + himo/ shoelace (/himo/ string)
Te important point here is not the absence of rendaku in the three compounds in
(2) but the fact that the three morphemes meaning smoke, dew, and string sim-
ply do not have voiced allomorphs.
Te other kind of irregularity is that many morphemes sometimes exhibit
rendaku and sometimes do not, even when no putative constraint is relevant. Te
examples in (3) illustrate.
(3) /ki/ wood /cumi + ki/ (toy) wooden blocks
/yose + gi/ wooden mosaic
/tama/ ball /mizu + tama/ water droplet
/yu + dama/ bubbles in boiling water
/ima/ island /uki + ima/ oating island
/hanare + ima/ solitary island
/hi/ sun /asa + hi/ morning sun
/nii + bi/ westering sun
In addition, there are individual words, such as those in (4), that can be pro-
nounced either with or without rendaku.
7
6. For an introduction to the putative constraints on rendaku, see Vance (1987: 136146).
7. Of course, an individual speaker might prefer one alternative to the other for each word. In
the case of /oku + fukai/~/oku + bukai/, Matsumura (1988) lists both pronunciations, but
Shinmura (1998) lists only /oku + bukai/, and NHK Hs Bunka Kenkyjo 1998 lists only /oku
+ fukai/. As for /waru + kui/~/waru + gui/ and /ki + kaeru/~/ki + gaeru/, all three of these
dictionaries list both alternatives. Te rendaku in /ki + gaeru/ seems to be a recent development
in modern standard Japanese. Jorden and Chaplin (1962: 45) gives /ki + kaeru/, without
rendaku, as the only pronunciation for this lexical item, but Jorden and Noda (1988: 301) gives
/ki + kaeru/ and /ki + gaeru/ as alternative pronunciations, and the great majority of modern
Tokyo speakers seem to use only /ki + gaeru/. Although /oku + fukai/~/oku + bukai/ and /ki +
kaeru/~/ki + gaeru/ are inectional forms, the morpheme boundaries between stem and
inectional sufx are not relevant here and are not marked. In the case of verbs, there is serious
If rendaku isnt a rule, what in the world is it? :|:
(4) /waru + kui/~/waru + gui/ bad mouthing
/ki + kaeru/~/ki + gaeru/ change clothes
/oku + fukai/~/oku + bukai/ deeply recessed
On the other hand, rendaku is pervasive in the existing vocabulary, and it ofen
occurs in newly coined words. As a comparison, consider once again the singular/
plural voicing alternations in English nouns (as in /wlf/ wolf versus /wlv + z/
wolves, /b/ bath versus /b + z/ baths, and /haus/ house versus /hauz + z/
houses). Tese English alternations are all losing ground; nouns that alternate for
older speakers ofen do not alternate for younger speakers, and the alternations are
never extended to new nouns. Also, English orthography provides no hint that the
alternations are parallel.
3. Lymans Law
Te most important of the putative constraints on rendaku is known as Lymans
Law, which says that when the second element in a combination already contains
a voiced obstruent, rendaku does not occur.
8
Te examples in (5) illustrate.
(5) a. /tani + gawa/ valley river cf. /kawa/ river
b. /tani + kaze/ valley wind cf. /kaze/ wind
Since /kawa/ does not contain a voiced obstruent, rendaku in /tani + gawa/ (5a)
does not violate Lymans Law. In contrast, since /kaze/ does contain a voiced ob-
struent (namely, /z/), if the form in (5b) were */tani + gaze/, with rendaku, it would
violate Lymans Law. Te modern Japanese vocabulary contains only a very small
number of exceptions to Lymans Law, the best known of which is probably /nawa
+ baigo/ rope ladder (cf. /haigo/ ladder).
A study reported in Vance (1980) asked native speakers of Japanese to con-
sider compounds consisting of a real rst element and a made-up second element.
Each made-up element and each compound was provided with a denition, and
the task was to decide whether each compound sounded better with rendaku or
doubt about whether the division of inectional forms into a stem followed by an inectional
sufx is a realistic way of representing the knowledge of native speakers. See Vance (1991) and
especially Klafehn (2003).
8. Lymans Law is named afer Benjamin Smith Lyman, who was the rst non-Japanese to
write about it (see Lyman 1894). According to Miyake (1932: 136), the Japanese scholar Motoori
Norinaga (17301801) stated categorically that if the second element of a compound contains a
voiced obstruent, its initial consonant does not voice.
:|i Timothy J. Vance
without. In some cases, rendaku would violate Lymans Law, and in other cases it
would not. Two of the test items appear in (6).
(6) a. () kawa de no kys competition on a river
/kawa + kidake/
/kawa + gidake/
b. () kawa no jtai condition of a river
/kawa + tacuka/
/kawa + dacuka/
Notice that one of the two choices in (6a) (/kawa + gidake/) violates Lymans Law,
while the other choice (/kawa + kidake/) does not. Neither of the two choices in
(6b) violates Lymans Law.
Te graph in Figure 1 shows the percentage of rendaku responses by each sub-
ject to items with no voiced obstruent in the second element and to items with a
voiced obstruent anywhere in the second element. Rendaku responses to items of the
second type are like /kawa + gidake/ in (6a), i.e., they are violations of Lymans Law.
Te graph shows a wide range of individual diferences, but every subject ex-
cept S12 gave some responses that violated Lymans Law. On the other hand, for
every subject, the proportion of rendaku responses to items without a voiced
Subject
80
R
e
n
d
a
k
u
r
e
s
p
o
n
s
e
s
e
s
60
40
20
7 4 14 5 8 10 1 13 3 6 2 11 9 12
no Lymans Law violation
Lymans Law violation
Figure 1. Rendaku responses to compounds consisting of a real frst element and a made-
up second element (Vance 1980)
If rendaku isnt a rule, what in the world is it? :|
obstruent in the second element was higher than the proportion of rendaku re-
sponses to items with a voiced obstruent in the second element. Te diference was
statistically signicant for every subject except S1.
9
What, then, is the ontological status of Lymans Law? Does it make sense to say
that there is a constraint on something (i.e., rendaku) that is not itself a rule?
10
And
why does Lymans Law persist if most people are willing to violate it in an experi-
mental situation?
4. Direct object + verb stem
Tis section considers two-element compound nouns consisting of a noun ele-
ment followed by the so-called stem form of a transitive verb. Te abbreviation N
+ V = N denotes a compound of this type. If the noun element is semantically the
direct object of the verb element (DO + V = N), rendaku is supposedly inhibited
(Okumura 1955; Sakurai 1966: 41; Yamaguchi 2011). Te examples in (7) follow
this putative pattern.
(7) a. DO + V = N: /ai + cuke/ avoring
cf. /ai o cukeru/ add avor
b. nonDO + V = N: /kugi + zuke/ attaching with nails
cf. /kugi de cukeru/ attach with nails
As Kindaichi (1976) demonstrates with long lists of examples, however, resistance
to rendaku in DO + V = N compounds is just a tendency in the existing vocabu-
lary. Te rst three examples in (8) all have the form DO + V = N, but rendaku
occurs. In (8d), on the other hand, the noun element is not the direct object of the
verb element (nonDO + V = N), but rendaku does not occur.
(8) a. /kuruma + dome/ wheel block
cf. /kuruma o tomeru/ stop wheels
b. /kui + biki/ drawing lots
cf. /kui o hiku/ draw lots
9. Te statistical test used was chi-square. Te number of responses with and without rendaku
was treated as one dimension and the items in which rendaku was or was not a violation of
Lymans Law was treated as the other dimension of a 22 contingency table. Ihara and Murata
(2006) used essentially the same method with two much larger groups of subjects, and they report
comparable results. For a more recent experimental study of Lymans Law, see Kawahara (2012).
10. I thank George Bedell for putting the question this way in the discussion afer a talk I gave
at International Christian University in Tokyo in 2002.
:|| Timothy J. Vance
c. /hotaru + gari/ rey hunting
cf. /hotaru o karu/ hunt reies
d. /kata + kake/ shawl
cf. /kata ni kakeru/ put on the shoulders
Needless to say, the presence or absence of rendaku is not an issue if the related
verb does not begin with a voiceless obstruent or if it contains a non-initial voiced
obstruent. For example, in the case of /mui + yoke/ insect repellent
(cf. the verb /yokeru/ avoid), there simply is no possibility of rendaku, and in the
case of /ne + sage/ price reduction (cf. the verb /sageru/ lower), rendaku
would violate Lymans Law. Setting such cases aside, nonDO + V = N compounds
without rendaku like (8d) are quite rare. Most nonDO + V = N compounds follow
the proposed pattern and, like /kugi + zuke/ in (7b), have rendaku. In contrast, DO
+ V = N compounds with rendaku like (8ac) are quite common.
11
Nakamura and Vance 2002 reports an experimental study of the proposed pat-
tern. As a preliminary step, a representative sample of the existing vocabulary was
carefully constructed.
12
Tis sample contains 403 N + V = N items susceptible to
rendaku, that is, items for which the related verb begins with a voiceless obstruent
11. Sugioka (2005: 217218) argues that there is a productive rule for creating new DO + V =
N compounds, whereas new nonDO + V = N compounds result from what she characterizes as
a kind of analogy. She also claims that rendaku always occurs when it is possible in newly coined
nonDO + V = N compounds but seldom occurs in newly coined DO + V = N compounds. To
be more precise, Sugioka says that the contrast is between initial noun elements that are adjuncts
and those that are arguments, and arguments presumably include subjects as well as direct ob-
jects. Kindaichi (1976: 12) suggests that Subject + V = N compounds resists rendaku regardless
of whether the verb element is transitive or intransitive, but in earlier work Sugioka (1986: 108,
n. 24) disagrees and says that Subject + V = N compounds do not seems to resist rendaku.
12. A revised version of the vocabulary sample described in this paragraph is available to any
interested reader as a pdf le <http://www.ninjal.ac.jp/rendaku/database/>. A detailed explana-
tion of how the sample was constructed is included in Nakamura and Vance 2002, but the main
points can be summarized as follows. We started with a large reverse dictionary organized by
part of speech (Kazama 1979) and made a list of all the simplex verbs beginning with a voiceless
obstruent and not containing a medial voiced obstruent. We then restricted the list to verbs that
are reasonably common in modern Japanese by eliminating all those that do not appear as a
headword in a medium-sized Japanese-English dictionary (Hasegawa et al. 1986). For each re-
maining verb, we found every N + V = N compound listed in a small reverse dictionary (Kitahara
1990) but discarded any compound that does not appear as a headword in the Japanese-English
dictionary. We then tried to classify each remaining compound as DO + V = N or nonDO + V =
N and eliminated those for which the classication was problematic. Finally, Nakamura (a native
speaker of Japanese) eliminated compounds that were not in her active vocabulary or for which
her own pronunciation difered from the pronunciation given in the Japanese-English diction-
ary. Te version of the sample now available online incorporates a few revisions and corrections
done in 2012 by a second native speaker of Japanese (Akiko Takemura).
If rendaku isnt a rule, what in the world is it? :|,
+DO DO
+R 143 145
R 104 11
Figure 2. Representative sample of N + V = N compounds in existing vocabulary
and does not contain non-initial voiced obstruent. Te properties of interest are
distributed as in Figure 2, where + DO means a DO + V = N compound, DO
means a nonDO + V = N compound, +R means that rendaku occurs, and R
means that rendaku does not occur.
It is clear that rendaku occurs in a much higher proportion of nonDO + V = N
(DO) compounds (145/156 = 93%) than DO + V = N ( + DO) compounds
(143/247 = 58%). On the other hand, rendaku is hardly exceptional in +DO com-
pounds, since it occurs in more than half (58%) of the relevant items.
In an earlier experimental study, Kozman (1998) asked subjects to respond to
ten novel N + V = N compounds, each plausibly ambiguous between a +DO mean-
ing and a DO meaning, in which the nominal element is understood as instru-
mental. One of Kozmans items had the alternative pronunciations /ai + kaki/
(without rendaku) and /ai + gaki/ (with rendaku). Twenty subjects heard the R
pronunciation and twenty subjects heard the +R pronunciation. Te task was to
choose one of two written denitions for each item. In this case, the denitions
were as in (9).
(9) a. +DO: E no kurasu de seito ga ashi o kaku.
Te students draw a foot in drawing class.
b. DO: Ude no fujiy na hito ga ashi de kaku.
Te person with disabled arms draws with his foot.
Tere were 200 responses to +R items and 200 responses to R items (10 items
20 subjects for each). Te percentage of +DO responses was 37% for +R and 45.5%
for R items, and while the diference (74/200 versus 91/200) is in the predicted
direction, it is not statistically signicant. Kozmans results thus provide no sup-
port for the idea that native speakers of Japanese internalize the putative regularity
even as a tendency.
Te Nakamura and Vance 2002 experiment involved a production task. Te
expectation was that the results would corroborate Kozmans ndings, but the ac-
tual results were not quite in line with this expectation. Twenty-one subjects par-
ticipated, and the task was to pronounce N + V = N compounds in response to
spoken prompts that were mostly of the form NOUN (PARTICLE) VERB. Tere
:|o Timothy J. Vance
were eight verbs and four prompts for each verb, two +DO prompts and two DO
prompts. For each verb, one +DO prompt and one DO prompt were each in-
tended to elicit an existing compound. Te other +DO prompt and the other DO
prompt were each intended to elicit a novel compound. Te prompts for two exist-
ing compounds are shown in (10).
(10) a. PROMPT: /mono o hosu/ dry things (+DO)
EXPECTED RESPONSE: /mono + hoi/ drying rack (existing;
R)
b. PROMPT: /kage de hosu/ dry in the shade (DO)
EXPECTED RESPONSE: /kage + boi/ drying in the shade
(existing; +R)
All the existing compounds that the prompts were intended to elicit conform to
the putative generalization: the eight +DO items lack rendaku, as in (10a), and the
eight DO items have rendaku, as in (10b). Te prompts for two novel compounds
are shown in (11).
(11) a. PROMPT: /kucu o hosu/ dry shoes (+DO)
EXPECTED RESPONSE: /kucu + hoi/ or /kucu + boi/ shoe
drying (novel)
b. PROMPT: /yoru hosu/ dry at night (DO)
EXPECTED RESPONSE: /yoru + hoi/ or /yoru + boi/ dry-
ing at night (novel)
Te subjects were divided into two groups. Tose in one group rst heard all the
prompts for existing compounds and then heard all the prompts for novel com-
pounds. Te subjects in the other group rst heard all the prompts for novel com-
pounds and then heard all the prompts for existing compounds.
In this experimental design, the dependent variable is the number of rendaku
responses, and there are three factors: subject group (existing items rst vs. novel
items rst), item set (existing items vs. novel items), and noun role (direct object
vs. other role). In the ANOVA results, all three two-way interactions were
signicant, and so was the main efect of noun role (+DO vs. DO).
13
Te interac-
tions will be interpreted one by one in the following paragraphs.
13. Te three-way interaction was not signicant. Te main efect of subject group (novel items
rst vs. existing items rst) was signicant by items (F[1,28] = 33.20; p<.001) but not by subjects
(F[1,19] = 3.08; p>.09). Te main efect of item set (novel words vs. existing words) was
signicant by subjects (F[1,19] = 6.49; p<.02) but not by items (F[1,28] = 2.47; p>.12). Te main
efect of noun role (direct object vs. other) was signicant both by items (F[1,28] = 181.22;
p<.0001) and by subjects (F[1,19] = 316.31; p<.0001).
If rendaku isnt a rule, what in the world is it? :|
%
r
e
n
d
a
k
u
r
e
s
p
o
n
s
e
s
Existing
Novel
Existing first Novel first
Existing
Novel
20
80
60
40
Figure 3. Subject-group item-set interaction
As the graph in Figure 3 shows, the subject-groupitem-set interaction reects the
fact that the subjects who responded to existing items rst gave more rendaku re-
sponses to the existing compounds than to the novel compounds, whereas the
subjects who responded to the novel items rst gave more rendaku responses to
the novel compounds than to the existing compounds.
14
Tis subject-groupitem-
set interaction was surprising, since there is no reason to expect the order of test-
item presentation to have any efect on whether or not an existing word would be
produced with rendaku.
Te graph in Figure 4 shows that both groups of subjects gave more rendaku
responses to nonDO + V = N compounds than to DO + V = N compounds. Te
subject-groupnoun-role interaction reects that fact that the gap was wider for
the subjects who responded to the existing items rst than for the subjects who
responded to the novel items rst.
15
%
R
e
n
d
a
k
u
r
e
s
p
o
n
s
e
s
r
e
s
p
o
n
s
e
s
+DO
Existing first Novel first
DO
+DO
20
80
60
40
DO
Figure 4. Subject-groupnoun-role interaction
14. Te subject-groupitem-set interaction was signicant both by items (F[1,28] = 36.14;
p < .0001) and by subjects (F[1,19] = 21.86; p < .0001).
15. Te subject-groupnoun-role interaction was signicant both by items (F[1,28] = 19.46;
p < .0001) and by subjects (F[1,19] = 9.23; p < .007).
:|8 Timothy J. Vance
%
r
e
n
d
a
k
u
r
e
s
p
o
n
s
e
s
r
e
s
p
o
n
s
e
s
+DO
Existing set Novel set
DO
+DO
20
80
60
40
DO
Figure 5. Item-setnoun-role interaction
Tis interaction just means that the main efect of noun role (i.e., the preference
for rendaku in DO items) was stronger for the subjects who responded to the
existing items rst than for the subjects who responded to the novel items rst.
Like the graph in Figure 4, the graph in Figure 5 shows that the subjects gave
more rendaku responses to nonDO + V = N compounds than to DO + V = N
compounds. Te item-setnoun-role interaction reects that fact that the gap was
wider for the novel items than for the existing items.
16
Tis interaction means that
the responses to novel items were more in line with the putative generalization
about N + V = N compounds than the responses to existing items a completely
unexpected result.
Notice that the subjects produced many incorrect responses to prompts that
were intended to elicit existing N + V = N words. Despite the fact that these exist-
ing words are all DO + V = N compounds without rendaku or nonDO + V = N
compounds with rendaku, the subjects gave 36% rendaku responses for the DO +
V = N items and 22% no rendaku responses for the nonDO + V = N items. A small
amount of random error is inevitable in an experimental situation, but these per-
centages of incorrect responses are much too high to ignore. It seems likely that
the experimental situation was stressful enough to interfere with lexical retrieval,
and if so, the subjects sometimes had to coin a word rather than retrieve a known
item in response to an existing-set prompt.
17
In any case, in contrast to the earlier
16. Te item-setnoun-role interaction was signicant both by items (F[1,28] = 15.00; p<.001)
and by subjects (F[1,19] = 39.93; p<.0001).
17. Kaori Kabata suggests that the low frequency of some of the existing test items might also
be part of the explanation for the high error rate. As a crude way of correcting for diferences in
salience, Nakamura and Vance (2002) considered using frequency to weight each existing N +
V = N compound in the representative sample of the existing vocabulary in Figure 2, but only
If rendaku isnt a rule, what in the world is it? :|
study by Kozman (1998), noun role (direct object vs. other) emerged in this study
as a signicant factor.
5. Analogy
Ohno (2000: 161) argues that a kind of analogy is the basic mechanism for extend-
ing rendaku to new vocabulary items: Native speakers refer to existing compounds
and refer to a semantically and/or phonetically parallel form when they determine
the rendaku/non-rendaku form of a novel compound. For example, Ohno says
that /kami/~/gami/ hair always appears as /gami/ when it is the nal element
in a compound, except in the word /kuro + kami/ black hair. When Ohno
presented his subjects with (white+hair), 27 of 31 chose /iro + kami/ over
/iro + gami/. In contrast, Ohno says that /i/~/i/ blood never appears as /i/
when it is the nal element in a compound, except in the word /hana + i/
nosebleed. When Ohno presented his subjects with (ear+blood), 37 of 43
chose /mimi + i/ over /mimi + i/. Ohno assumes that the novel compounds
meaning white hair and ear bleeding strongly bias native speakers of Japanese
toward accessing the existing items /kuro + kami/ and /hana + i/. Tis is what he
means by a semantically parallel form. As a result, Ohno argues, most native
speakers choose the form for each novel compound that we would not expect if
the choice depended simply on the proportion of existing items with rendaku.
As an example of the inuence of phonetically parallel forms, Ohno com-
pares the existing compounds /waka + kusa/ young grass (without rendaku)
and /i + gusa/ rush (with rendaku). A majority (25/35) of Ohnos subjects
preferred /aka + kusa/ (without rendaku) over /aka + gusa/ for (red + grass),
but a majority (25/35) also preferred /ki + gusa/ (with rendaku) over /ki + kusa/ for
(yellow + grass). Ohno attributes the diference to the infuence of phono-
logically similar /waka + kusa/ and /i + gusa/.
Ohno (2000: 162) goes on to suggest that If there is no possible reference to
existing rendaku forms, the item does not undergo rendaku in a novel compound.
For example, Ohno says that /taka/ hawk is rendaku-immune (i.e., does not
12 of the 403 compounds are listed in the one readily available source of frequency data
(Kokuristu Kokugo Kenkyjo 1962). In any case, since the database for this source was maga-
zines published in 1956, the reported frequencies are not likely to correspond very well to sa-
lience for the subjects in Nakamura and Vance experiment, who were born around 1980. It
would be interesting to be look at the errors in existing items in the light of frequency informa-
tion from a more recent and larger database.
:,o Timothy J. Vance
alternate with /daka/).
18
When Ohno presented his subjects with (large +
hawk) and (red + hawk), 41 of 43 chose /oo + taka/ over /oo + daka/ and
/aka + taka/ over /aka + daka/. Ohno also says that /surume/ dried squid does
not occur as the nal element in any existing compound, and when he presented his
subjects with (large + dried squid) and (red + dried squid), 41 of 43
chose /oo + surume/ over /oo + zurume/ and /aka + surume/ over /aka + zurume/.
As Ohno (2000: 162) points out, this kind of analogy accounts for the persis-
tence of Lymans Law, even if this constraint is just a historical residue. On the
other hand, it is not clear why speakers would extend rendaku to elements they
have never heard, such as the made-up elements in the Vance 1980 experiment
that was summarized above.
6. An illusion of regularity?
Tis paper has reviewed the results of three kinds of psycholinguistic experiments,
all designed to explore some aspect of the familiar yet puzzling phenomenon
known as rendaku. Even on the generous assumption that these experiments were
well enough designed to avoid hopeless confounding by uncontrolled extraneous
variables, none of them gives us more than a tantalizing glimpse at whatever the
underlying big picture might be. It is relatively easy to makes sense of each set of
results on its own, but reconciling them all with each other and with still other sets
of results is a challenge for any theory of grammar that aspires to encompass the
(morpho-) phonological aspects of language in a psychologically plausible way.
If we take this challenge seriously, even the (sometimes vague) feelings of na-
tive speakers are part of what ultimately needs to be explained. Te analogical
decisions explored by Ohno (2000) seem to turn on perceived similarity, and it
may be that such decisions are close enough to certainty in any particular case for
any particular individual speaker that rendaku in general feels predictable. Tis
kind of predictability is not exactly the same thing as regularity, but it is not hard
to see how a person could translate a feeling of predictability into a (clearly mis-
taken) belief that there somehow must be a relatively straightforward rule that
could be discovered and even taught explicitly to non-natives.
18. Although no compounds ending in /daka/ meaning hawk are common enough to be in-
cluded in smaller dictionaries, a comprehensive dictionary such as Kjien (Shinmura 1998) in-
cludes several headwords that t this description. Tere are also species names, such as /aka +
hara + daka/ red-bellied hawk, that do not appear in ordinary dictionaries but do ap-
pear in eld guides for bird watchers.
If rendaku isnt a rule, what in the world is it? :,:
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Te semantic basis of grammatical
development
Its implications for modularity, innateness,
and the theory of grammar
Yasuhiro Shirai
Tis chapter reviews semantic bias observed in the acquisition of grammatical
categories, and examines its theoretical implications. It frst reviews the
acquisition of tense-aspect morphology, in particular of English, and proposes
a model of grammatical development called the input-based prototype
formation, taking examples from cross-linguistic data. I will then discuss
semantic bias observed in the acquisition of pronominal case in English,
conditionals in Japanese and Korean, causative morphology in Japanese,
nominative case omission in Japanese and Korean, and relative clause
construction in Japanese. Based on the review, I will argue against modularity
and the innateness hypothesis, which constitutes the fundamental assumptions
espoused by generative grammar, and argue for further analysis of semantic bias
in frequency distribution in the input language that children are exposed to.
1. Introduction
In a study of English acquisition, I have investigated the efect of input on the
acquisition of tense-aspect morphology, and proposed an explanation for the ac-
quisition patterns of past tense and progressive aspect markers based on input
frequency (Shirai 1991, 1994; Shirai & Andersen 1995). Specifcally, it has been
observed that in the acquisition of various languages (e.g., French, Italian, Japanese,
Greek, Turkish, English) children start to use the past tense form with telic verbs
(achievements/accomplishments) such as break, fall, and the progressive form
with dynamic atelic verbs (activities) such as play, watch. In the study of English
acquisition, I also found that about 60% of progressive morphology and of past
tense morphology in child-directed speech was used with activity verbs and
achievement verbs respectively. Importantly, this association between tense-aspect
:,| Yasuhiro Shirai
morphology and verb type was found to be even stronger (almost 100%) in early
child language. I have attributed this to childrens prototype formation of semantic
representation for these grammatical markers.
Tis paper discusses the importance of this model, which I call input-based
prototype formation for the development of closed-class items, taking examples
from crosslilnguistic data. I will discuss the acquisition of tense-aspect, pronominal
case in English (Budwig 1996), conditionals in Japanese and Korean (Akatsuka &
Clancy 1993), causative morphology in Japanese (Shirai, Miyata, Naka & Sakazaki
2000, 2001), nominative case omission in Japanese and Korean (Miyamoto, Wexler,
Aikawa & Miyagawa 1998; Lee & Wexler 2001), and relative clause construction in
Japanese (Ozeki & Shirai 2010). I will then discuss the implications of this model
for the general theory of grammatical development.
2. Tense-aspect
Bickerton (1981, 1984, see also 1999) proposed the Language Bioprogram Hypoth-
esis, based primarily on his research on the genesis of creole languages. Observing
that even genetically unrelated creole languages share common linguistic features
in domains as varied as the causative construction, nominal specifcity, and tense-
aspect marking, Bickerton hypothesized that these commonalties must come from
a bioprogrami.e., knowledge that is innately specifed for all human children.
Bickertons argument is that the commonalties among genetically unrelated creole
languages can be explained only if we postulate that children modify the pidgin
input they are exposed to in ways that are compatible with the bioprogram.
2.1 Lexical aspect
Before I discuss Bickertons proposal, let me briefy defne lexical aspectual classes
that are to be a basis for understanding the main point of the paper. Inherent aspect
(otherwise known as situation aspect or aktionsart) refers to the temporal seman-
tic characteristics of the verb and elements associated with it (arguments and some
adjuncts) (Smith 1997). Vendlers (1957) four classes are the most well-known:
State: love, exist, know, believe, think that...
Activity: run, walk, swim, think about...
Accomplishment: make a chair, walk to the store
Achievement: reach the summit, die, win the race, notice
State terms refer to stative situations that do not change unless some other force
changes them. States are stative, while the other three classes are dynamic. Among
Te semantic basis of grammatical development :,,
the dynamic situations, activity terms involve duration, but they do not have an
inherent endpoint. Tat is, one can stop the action at any time point, but the fact
remains that the action has been done. Activity is therefore atelic (non-telic), not
involving an inherent endpoint. Accomplishment terms, on the other hand, are
telic, involving a necessary endpoint. One cannot truthfully say she made a chair if
she stops in the middle of making a chair. Finally, achievement terms refer to situ-
ations that are linguistically conceived as punctual or instantaneous. Achieve-
ments, therefore, are [+punctual] and [+telic].
1
Tese four classes can be sche-
matically represented as follows (Andersen 1990):
State ______________ love, contain, know
Activity ~~~~~~~ run, walk, swim
Accomplishment ~~~~~~~x paint a picture, build a house
Achievement x fall, drop, win the race
In this schematization, a long solid line is used to represent states, because states
have no apparent beginning point or endpoint and endure indefnitely unless
some external force changes them. Te wavy lines for activities and accomplish-
ments indicate the dynamic duration of an action, while x for accomplishments
and achievements represents a punctual point of change of state, signaling telicity
(i.e., natural endpoint).
2.2 Language bioprogram hypothesis: PNPD and SPD
Bickerton (1981) postulated two types of aspectual distinctions that human chil-
dren are innately endowed with: the PNPD (the Punctual-Non-Punctual Distinc-
tion) and the SPD (the State-Process Distinction), both of which he claimed are
grammatically marked in all true creole languages as defned by him. He re-
viewed studies in the acquisition of French (Bronckart & Sinclair 1973) and Italian
(Antinucci & Miller 1976) in support of the PNPD, and studies in English (Brown
1973; Kuczaj 1978) and Turkish (Slobin & Aksu 1980) in support of the SPD.
Regarding the PNPD, it was observed that children acquiring French and
Italian tend to attach past marking to punctual (i.e., telic) verbs, but not to non-
punctual (i.e., atelic) verbs (Bronckart & Sinclair 1973; Antinucci & Miller 1976).
2
Based on this observation, Bickerton claimed that children are marking punctuality
1. Smith (1997) proposes a ffh category semelfactive, which is punctual but atelic, such as
jump, kick, knock. Although this revision of the Vendlerean verb classifcation has important
consequences for the acquisition of tense-aspect (Shirai & Andersen 1995), this paper uses the
four-way classifcation to simplify the discussion.
2. Te terminology used by Bickerton (1981) is slightly diferent from those used by aspectolo-
gists. His punctual roughly corresponds to telic, and nonpunctual to atelic as defned above.
:,o Yasuhiro Shirai
rather than pastness when they use past tense markers. Regarding the SPD,
Bickerton claimed that, because children rarely (if ever) make the error of incor-
rectly attaching progressive marking to stative verbs, they must already know the
distinction between state and non-state (i.e., process). Bickerton also noted that
Turkish children at the early stages use the indirect past marker -mIs and the direct
past marker -dI to diferentiate between static and dynamic events, violating the
norms of adult grammar. Tis, Bickerton argued, provides further evidence in
support of his hypothesis.
Bickerton (1981: 163) thus suggested that the acquisitional patterns of tense-
aspect morphology in these studies can only be explained by assuming an innate
bioprogram. He admits that a bioprogram specifcation may not appear in child
language in an explicit form, but argues that if there is some indication of a biopro-
gram at work, and if the phenomenon cannot be explained by other theories of
acquisition, this constitutes a signifcant support for the bioprogram hypothesis.
2.3 Input distribution as explanation
In a series of studies, I have proposed an alternative account for the acquisitional
patterns of tense-aspect morphology which Bickerton had earlier attributed to the
bioprogram. Te proposal is that the pattern of acquisition is primarily driven by
the distribution of the tense-aspect morphology in the input, and by childrens
initial process of category formation.
Bickerton (1981) evidently assumes that the distribution in the input has no
signifcant consequences in the acquisitional patterns of tense-aspect morphology.
In reviewing the acquisition of Italian (Antinucci & Miller 1976), which shows
that perfective past forms (referred to as participials) are only attached to punc-
tual (i.e., telic) verbs, and imperfective past forms only to activity verbs, Bickerton
(1981: 174) suggested that in child Italian perfective past and imperfective past are
in complementary distribution, the frst being used for punctual verbs, the second
for nonpunctual ones. He states:
Note that this does not refect anything in Italian grammar; all Italian verbs,
whether punctual or nonpunctual, activity or change-of-state verbs, have both
perfective and imperfective past tenses.
But while it may be possible to attach perfective or imperfective past forms to
verbs of any verb type, not all verb classes are equally likely to take perfective and
imperfective past forms in real-life language use. Tere are natural relationships
between perfective past and telic verbs (Bickertons punctual verbs) on the one
hand, and between imperfective past and atelic verbs (Bickertons nonpunctual
Te semantic basis of grammatical development :,
verbs), on the other. Leone (1990), cited in Andersen (1993), quantitatively estab-
lishes this association: in an adult-adult native speech sample (an interview), per-
fective past forms are predominantly attached to telic verbs. For example, based on
token count, 97% of the perfective past forms were attached to telic verbs (achieve-
ments and accomplishments), while 72% of imperfective past forms are attached
to atelic verbs (activities and states).
If such distributional bias is present in the input, it is not surprising that chil-
dren follow this trend in acquiring tense-aspect morphology. In my previous
research (Shirai 1991, 1994; Shirai & Andersen 1995) I tested this hypothesis by
investigating the use of verbal morphology by three children acquiring English
and by their mothers in the CHILDES database.
I found that childrens early past marking is predominantly restricted to
achievement verbs. Tis supports one of the predictions of Bickertons bioprogram
hypothesis. At the earliest, emergent stage of past tense verbs, most of the past in-
fections are attached to achievement verbs (i.e., [+punctual], [+telic]). In the ac-
quisition of English verbs, children use the bare stem as the all-purpose verbal
form at the earliest stage (Brown 1973). Ten gradually they begin to attach verbal
morphology on selective verb forms. What happens here is underextension of past
morphology; children rarely overextend past tense morphology to inappropriate
contexts (Brown 1973; Kuczaj 1976). Ten children gradually extend the applica-
tion of past tense morphology to contexts that deviate from this initial verb class,
i.e., they attach past morphology to atelic (Bickertons non-punctual) verbs, thus
approximating the adult norm.
At the same time, however, I also found that the caretakers past marking is
likewise skewed in a direction congruent with the childrens nearly absolute trend:
approximately 60% of past-tense markers in the caretakers input occurred with
achievement verbs. It may have been that this high correlation of punctuality and
telicity with past morphology resulted in the near absolute tendency observed in
the childrens output.
Let us now turn to the acquisition of progressive marking, which concerns
both the PNPD and the SPD. First, Bickerton (1981) claims that children acquiring
English frst mark non-punctuality (i.e., imperfective) by means of the progressive
-ing forms, and then later mark punctuality (i.e., telicity) by means of irregular past
tense forms.
3
Shirai and Andersen (1995) show that the earliest use of progressive
marking by the three children is predominantly on activity verbs, which is in
line with Bickertons claim that children acquiring English mark nonpunctuality
3. Bickerton (1981) made this prediction based on the observation (e.g., Brown 1973) that in
the acquisition of English, irregular past attains acquisition criterion (i.e., 90% supplied in oblig-
atory contexts) afer progressive -ing, but before regular past tense -ed.
:,8 Yasuhiro Shirai
(i.e., lack of telicity) by -ing. Tis again, however, can be attributed to input: Ap-
proximately 60% of the mothers uses of progressive are with activity verbs.
With regard to the use of progressive marking on stative verbs, Bickertons pre-
diction is that children will not make the error of incorrectly attaching progressive
marking to stative verbs because they know in advance the distinction between
states and non-states (i.e., what Bickerton calls processes). Shirai (1994), however,
shows that children do incorrectly attach progressive marking to stative verbs. It
was found that one of the three children studied (Naomi) used progressive mark-
ing with state verbs, and some of the uses were obviously ungrammatical (e.g.,
*seeing light, *needing). Furthermore, the pattern of error is guided by parental in-
put: the mother of this child was the only one who used progressive marking with
stative verbs, which suggests that the pattern of error is guided by parental input.
One additional piece of evidence for Bickertons SPD is the acquisition of
Turkish. As noted briefy above, there are two past tense markers in Turkish, one
for direct experiences (-dI), and the other for indirect experiences (-mIs). Accord-
ing to Bickerton (1981), who cites Slobin and Aksu (1980), Turkish children at
early stages use -mIs and -dI to diferentiate between static and dynamic events
because the distinction is innately programmed. He argues that evidentiality is not
part of the bioprogram, and therefore Turkish children misinterpret this direct vs.
indirect past as the grammatical marking that makes the state-process distinction.
Aksu-Ko (1988: 56), however, suggests an alternative, input-based account
for this phenomenon, although she does not mention Bickertons SPD. She states:
Te alternative route whereby the -mIs particle acquires the function of indicating
stativity in childrens speech can be hypothesized on the basis of a signifcant fea-
ture of baby-talk in Turkish. Although it is not an independently established fact,
it is a strongly shared observation that adults talk to infants and young children in
the evidential with -mIs. Tat is they are likely to comment on existing states or on
resultant states that have come about in the childs presence as well as otherwise,
with the -mIs particle, seemingly violating their own rules.
If adults use -mIs for states, disregarding their own norm, it is not surprising that
children mistake -mIs for a marker of stativity even without any bioprogram.
In sum, the evidence from language acquisition that Bickerton discussed to
support his bioprogram hypothesis can be accounted for by input-based learning.
Te strong initial correlation between punctual/telic verbs and past marking, and
that between progressive/imperfective marking and atelic verbs, which Bickerton
interpreted as childrens bioprogram-based marking of the punctual-nonpunctual
distinction, can instead be attributed to the skewed distribution in the input. Te
lack of overextension of stative verbs, which supports Bickertons state-process hy-
pothesis, was not observed in Shirai (1994), and incorrect use of stative progressive
Te semantic basis of grammatical development :,
was attributed to input. Next I will discuss a possible mechanism behind such a
learning pattern.
3. Distributional learning and prototype-based initial representations
Although the importance of input and particular organizations of target linguistic
structures for acquisition studies has been stressed by many researchers (e.g.,
Bowerman 1985; Ochs 1985; Clancy 1989; Lieven 1994), the actual analysis of how
input contributes to the initial representation of linguistic forms has not been sys-
tematically attempted until recently. Budwig (1996: 143) notes that although lan-
guage acquisition research has shown that children link the use of particular lin-
guistic forms with particular meanings/functions in ways not necessarily identical
with the adult model, little investigation has been undertaken regarding the basis
for such linkage.
Budwigs studies are particularly relevant to the present discussion in that she
started out from the position that children will associate particular linguistic forms
with some conceptual units that are cognitively salient (Budwig 1986, 1989). It was
indeed found that three of the six children she studied associated the frst person
nominative pronoun I with low agentivity and control, while associating the geni-
tive my and accusative me with high agentivity and control. More specifcally, these
children used my/me in situations where they act as prototypical agent, ofen by
attempting to use language to bring about change (i.e., to control the situation
around the child), as in Me open that.
4
On the other hand, I was ofen used with
stative verbs, which are low in agentivity and control, in that stative verbs nor-
mally do not refer to agentive actions. Budwig (1989) suggested that these children
are marking agentivity and control, which are closely related to the linguistic no-
tion of transitivity (Hopper & Tompson 1980), by using distinct forms, disre-
garding the adult model (see also Clahsen 1986, in which German children mark
low transitivity by the -t infection on the verb). Tis is in line with Slobins (1985)
Basic Child Grammar, which suggests that children use specifc linguistic forms to
mark a scene involving prototypical agents.
Budwig (1996), however, investigated the input to these three children, and
found that 59% of caretakers uses of I involved a state verb, such as I like..., I
think... Also, 61% of their uses of I are associated with non-control acts. Tis means
that there was a high correlation of stativity, which is low in agentivity and control,
4. Te issue of why children make such errors is still controversial (e.g., Schtze 1999, 2001,
Rispoli 2002, 2005).
:oo Yasuhiro Shirai
with the caretakers use of I. Tus, Budwig suggests that the input distribution may
be the source of childrens acquisitional pattern.
5
Te convergence of fgures between Shirais and Budwigs studies 60% is
suggestive. Shirais study also suggests the possibility that when 60% of a particular
linguistic form is associated with one particular meaning/function, then children
may make a strong connection between the two, as if the association was absolute;
about 60% of past tense morphology and progressive morphology was used with
achievement ([+punctual, +telic]) and with activity ([+dynamic, -telic]), respec-
tively, in the mothers speech, and children initially restricted these morphological
markings to those types of verbs almost exclusively. In the case of Italian, the dis-
tributional bias was more dramatic; perfective past is used with telic verbs more
than 95% in adult speech, which surely would contribute to the initial restriction
of perfective past to telic verbs by children (Antinucci & Miller 1976), which
Bickerton attributed to a bioprogram.
I argue that the mechanism behind this input-driven early restriction is that of
distributional analysis and prototype formation (see Shirai & Andersen 1995;
Andersen & Shirai 1996). Children are not just passively imitating what caretakers
say. Tey actively reorganize their linguistic representations based on the distribu-
tional information in the input, and create the initial prototype. In the case of
tense-aspect morphology, children appear to be guided by lexical aspectual fea-
tures such as telicity and punctuality in creating the initial prototype, while in the
case of Budwigs pronominal case acquisition, the three children are guided by the
notion of agentivity and control. When the initial prototype does not coincide
with the adult model, it results in underextension (past, -ing, and I), and/or over-
extension (My/me).
If we assume this type of learning mechanism on the part of children, we do
not need to posit an innate bioprogram to explain the pattern of past tense acquisi-
tion in Bronckart and Sinclair (1973) and Antinucci and Miller (1976), which
Bickerton used as supporting evidence for his bioprogram hypothesis. Further-
more, this input-based prototype formation has been tested by a simulation utiliz-
ing a connectionist network. Li and Shirai (2000, Ch.7) report a simulation of the
acquisition of English as a frst language by a self-organizing network, which
showed a pattern of acquisition very similar to that observed in human children.
Tis is important in that the network did not use back-propagation in which the
network is taught how its output difers from the target. Tus, by using unsuper-
vised learning for this simulation, Li and Shirai bypassed the no-negative evidence
5. Slobin himself has also changed his position regarding Basic Child Grammar, and now
doubts that there are any special notions that are universally grammaticizable (e.g., Slobin
1997).
Te semantic basis of grammatical development :o:
problem. Te fact that this input-based prototype formation model can be imple-
mented on a connectionist network without negative evidence suggests that it is a
realistic and viable model of grammatical development. Now, let us turn to other
areas of grammatical development to see the applicability of this model. Tere are
four other linguistic domains I would like to discuss where this prototype hypoth-
esis works well.
4. Other evidence for input-driven acquisition
4.1 Causative morpheme -sase in Japanese
Shirai, Miyata, Naka and Sakazaki (2000, 2001) found that childrens early use of
the Japanese causative -sase is mainly restricted to indirect causation such as per-
missive and assistive causation, although in the adult norm, it can be used for di-
rect causation of the manipulative/directive type. Tis initial restriction gradually
is weakened as children grow older. When we looked at the input, it was found that
the causative morphology in the caretakers speech was mostly used for permissive
and assistive causation.
4.2 Conditionals in Japanese and Korean
Akatsuka and Clancy (1993) report that Japanese and Korean children, when they
start to use conditionals, begin with what they called D-conditionals to express or-
der, prohibition and permission, such as Tabecha dame (lit.)Its no good if (you) eat,
and that the development of regular conditionals such as If I eat this, Ill have a
stomachache is slow. Tey attribute this to the high frequency of D-conditionals in
the input. Tey further observed that one Korean child who started to use both
types of conditionals at the same time had parents who used both at the same ratio.
4.3 Nominative case-marker drop in Japanese and Korean
Another interesting area where the efect of input is observed is the acquisition of
nominative case markers in Japanese and Korean. Miyamoto, Wexler, Aikawa, and
Miyagawa (1999) investigated the deletion of case markers in child Japanese, and
found that children tend to omit nominative case markers more ofen for the subject
NPs of unaccusative verbs than otherwise. Lee and Wexler (2001) analyzed the data
from Korean child language more systematically, and also found that the subject NPs
of unaccusative verbs have higher rate of nominative case omission. What is interest-
ing is that they also found that adults speech addressed to children is characterized
:oi Yasuhiro Shirai
by a higher rate of nominative case omission than adult-directed speech.
6
Tus, it
appears that instead of the defcient grammar (i.e., the lack of A-chain formation) as
these researchers suggested, childrens pattern of nominative-case marker omission
seems to be driven by input-based form-meaning association.
4.4 Relative clause constructions in Japanese
Finally, Ozeki and Shirai (2010) found that the head nouns of early relative clauses
that Japanese children use are mostly generic nouns and pro-forms that refer to
inanimate entities, such as mono thing, tokoro place, -no one, (72% for 2-year-
olds) and the modifying clauses involve mostly predicates referring to stative/ge-
neric attributes of the head noun modifed as in yakyuu suru mono the thing with
which (people) play baseball (73% for 2 year-olds). Tese percentages closely re-
fect maternal speech addressed to children (54% and 73%, respectively, for all
ages combined), whereas distribution in adult-adult discourse is quite diferent
(28% and 49%, respectively).
All these studies indicate that childrens early knowledge of grammatical struc-
tures is very diferent from that of adults. In particular children are semantically
restricted compared to adults, and it appears that the formation of such restricted
semantic prototypes is heavily infuenced by the input they are exposed to.
5. A methodological objection to the prototype model
One common objection to this type of prototype model is that it may refect, not
the childs competence, but just a discourse context in which the childs spontane-
ous conversation is recorded. In other words, it is just the demand of the discourse
context in which children are engaged in conversation that determined the seman-
tic bias in childrens use of grammatical forms, not because their semantic repre-
sentation is distinct from that of adults. Weist (1989) makes such an argument to
account for skewed distribution in the use of tense-aspect morphology in Polish.
Tis is a valid criticism, and the real test of whether the skewed distribution is
purely based on discourse factors must come from experimental studies. Regard-
ing tense-aspect, comprehension studies (e.g., Li & Bowerman 1998 for Chinese,
and Stoll 1998 for Russian) show that childrens competence is in fact limited, and
that children have higher comprehension scores in prototypical combinations
rather than non-prototypical combinations. In the domain of causative morphol-
ogy in Japanese, Morikawa and Onos (1997) production experiment shows that
6. Mays and Ono (1993) also report that the pattern of use and omission of nominative mark-
er -ga by a boy acquiring Japanese was strikingly similar to that observed in the input.
Te semantic basis of grammatical development :o
children, and especially younger children, have more difculty using -sase for di-
rect causation than indirect causation. Tese studies suggest that childrens re-
stricted production patterns also refect their restricted semantic representation.
6. Input vs. innateness in language acquisition
Te observations discussed in this paper considerably weaken the innateness hy-
pothesis espoused by theories of generative grammar. As is well known, Chomskys
theory of Universal Grammar presupposes innate linguistic principles to solve the
logical problem of language acquisition. Tat is, children can uniformly acquire a
highly complex grammatical system of language without negative evidence. Lan-
guage acquisition is possible only if children are endowed with innate linguistic
knowledge, the theory goes.
Much of generative research on language acquisition, therefore, investigates lin-
guistic items that are relevant to this innateness hypothesis. In this paper, I discuss
the proposal by Stephen Crain, who is one of the leading researchers in generative
acquisition research (see also Crain & Wexler 1999). Crain and Tornton (1998)
specifcally argue that innate principles (a) emerge early (b) are universal, and (c)
appear without decisive evidence from the environment. In chapter fve of their
book, Crain and Tornton (henceforth C & T) argue against the models of language
acquisition that primarily rely on input (what they call the input-matching model).
As examples of this model, they discuss Bates and MacWhinneys (1989) Competi-
tion Model and Hirsh-Pasek and Golinkofs (1996) Coalition Model. Tomasellos
usage-based model (Tomasello 2003) as well as the prototype model proposed in
this paper is also considered to be a variant of the input-matching model.
C & T argue that the input-matching model is inadequate because it cannot
explain some facts of language acquisition. In particular, they claim that the most
compelling evidence of innateness probably comes from the observation that chil-
dren sometimes make nonadult grammatical hypotheses (C & T 1998: 37). As an
example, they discuss the medial wh- an unnecessary repetition of a wh- phrase
within a sentence. For example:
*What do you think what pigs eat?
Tey argue that the input-matching model would be hard-pressed to provide an
account of this phenomenon.
However, this is not necessarily problematic for the input-matching model.
Tis can be treated as an example of incorrect segmentation (or chunking) of
linguistic units, of a sort that is ofen observed during language acquisition. Pre-
sumably, the children frst uttered the string [what do you think], which they
:o| Yasuhiro Shirai
encounter frequently, and then added [what pigs eat] to convey their intended
meaning, i.e., to ask what pigs eat. What C &T are missing is the fact that children
do not merely imitate what they hear, but actively reorganize linguistic data ad-
dressed to them, creating their own syntactic and semantic generalizations. If we
accept this simple fact, childrens non-adult hypotheses are not problematic for the
input-matching model at all.
C & Ts interpretation of such non-adult hypotheses is that they are instantia-
tions of UG. Te medial wh-, for example, can be found in some dialects of
German, and thus is part of the inventory of UG, they argue. But such an argu-
ment begs the question of which types of childrens errors are UG-driven, and
which are not, because we do not have an exhaustive inventory of UG yet. Should
we consider that childrens non-adult hypotheses concerning Japanese relative
clauses (discussed in 4.4.) part of UG? Is there such a language where relative
clauses are restricted to stative/generic predicates, as has been found in child
Japanese (Ozeki & Shirai 2010)? Should we consider that the restriction to stative/
generic predicates in early L1 relative clauses is part of UG?
C & T would also have difculty explaining individual diferences among chil-
dren. Tey state:
Clearly... diferent children encounter diferent input. Tis observation leads us
to expect diferent children to adopt diferent hypotheses assuming that they are
basing their hypothesis on experience. On the other hand, if all children in a lin-
guistic community adopt the same linguistic hypotheses, then we can infer that
language development is guided by innate principles, and not by learning-theo-
retic mechanisms (C & T 1998: 37).
Recall that three children in Shirai (1994) and four children in Akatsuka and
Clancy (1993) showed individual diferences in their acquisition of stative pro-
gressives and conditionals (respectively) as a consequence of diferent input distri-
bution they received. Tis further indicates that the development of grammatical
functors is guided by learning-theoretic mechanisms, not by innate principles.
7. Prototypes vs. modularity
Newmeyer (1983: 1314) specifcally argued against the theory of the acquisition
of syntax grounded in semantic prototypes to support the autonomy of formal
grammar. For the formal grammatical theory, syntactic categories are classical cat-
egories past tense is past tense, and progressive aspect is progressive aspect,
without internal structure; thus there is no good member or bad member of a
particular linguistic category. Te prototype theory of linguistic representation
squarely goes against this assumption, and is at odds with the autonomy of syntactic
Te semantic basis of grammatical development :o,
structure from semantics. Terefore, the notion that children are guided in their
learning of syntactic constructions by the semantically prototypical members of
the class is problematic for the formal grammatical theory.
Newymeyer based his arguments against the prototype theory on Maratsos
and Chakley (1980), an infuential paper which advocated the acquisition of syn-
tax based on distributional information. Maratsos and Chakleys argument against
the prototype model is mainly based on the observation that it is extremely rare
that children make categorical errors such as *He is nicing to them (instead of he is
being nice to them) even though the prototype theory predicts that somewhat verb-
like adjectives (e.g., nice) will be miscategorized as verbs.
Tis prediction by Maratsos and Chakley overlooks the fact that the prototype
model of acquisition is essentially an underextension model, i.e. the childs initial
semantic representation is restricted to prototypical ones only, and will be grad-
ually expanded to approximate the adult norm, and that therefore, overuse is rare.
During the process of acquisition, sometimes semantic overextensions do occur,
but these are also driven by semantic prototypes, as exemplifed in the study of
tense-aspect acquisition by Shirai (1993, 1994).
Terefore, the empirical basis of the prototype formation model is solid, and it
casts doubt on the modular theory of grammatical development where children
are assumed to acquire syntactic categories as classical categories without regard
to their internal structure.
8. What is the nature of the grammar that children acquire?
Te proponents of the innateness hypothesis generally assume a modular theory
of grammar, in which the distinction between lexical and grammatical categories
is of paramount importance. Pinker (1999), for example, proposes the words-and-
rules theory of language, in which words are manipulated by rules, the former
being learned through associative memory while the latter are manipulated by
productive computational mechanisms.
Tis approach, although elegant in some ways, cannot deal with the continu-
ous nature of lexical and grammatical categories observed in language. As gram-
maticization research shows, it is extremely difcult to draw a line between lexical
and grammatical categories, since it is a universal of language change that lexical
items grammaticize into functional elements and that therefore any language ex-
hibits what Bybee (1985) calls the lexical-derivational-infectional continuum.
Furthermore, the lexical-grammatical dichotomy approach cannot deal with
somewhat unpredictable constraints on grammatical operations observed in lan-
guage (Bolinger & Sears 1981; Pawley & Syder 1983). By making a clear dichotomy
:oo Yasuhiro Shirai
between words and rules, we lose sight of important facts of language, which con-
sists of numerous cases of semi-productive phenomena (see also Jackendof &
Pinker (2005).
Following usage-based, functional-typological-cognitive approaches to gram-
mar (e.g., Langacker 2000, Goldberg 1995, Crof 2001, Bybee & McClleland 2005),
I assume that the grammar that children need to acquire consists of large numbers
of networks of constructions with diferent degrees of productivity. At the highest
end of productivity is what has been considered to be rules while at the lowest
end are words, and in between there are numerous semi-productive constructions
such as idioms, formulas, and derivational morphemes (see Tomasello 2003 for an
elaborated scenario of how such grammar is acquired by children through input-
driven pattern fnding).
9. Conclusion
In the feld of frst language acquisition, the role of input in grammatical develop-
ment has generally been considered to be unimportant (but see Bowerman 1985).
Tere appear to be two main reasons for this. First, early correlational research
such as Brown (1973) and Newport, Gleitman and Gleitman (1977) showed that
the acquisition of grammatical morphemes and constructions did not correlate
with the frequency of these forms in caretaker speech. Second, infuential theories
of language acquisition did not place importance on input. For example, Chomskys
Universal Grammar emphasized the grammatical principles that children are in-
nately endowed with, and treated input only as trigger of Universal Grammar,
whereas Piagets constructivism and Slobins Basic Child Grammar stressed the
importance of the conceptual basis that children already have on which to map
grammatical/linguistic structures. However, research on the efect of input is not
very useful if we only investigate correlations between input frequency and acqui-
sition of various grammatical structures, as was done by Brown (1973) and
Newport et al. (1977); rather, we should look at the efect of input within a specifc
linguistic domain, as Valian (1999) pointed out. To understand the role of input in
grammatical development, we need more focused research of the type discussed
in this paper, which investigates the relationship between input and output in par-
ticular linguistic domains.
7
Tat will shed new light to the mechanism of language
acquisition, which in turn will help us understand the nature of grammar.
7. Recently, researchers who subscribe to the usage-based theory of language acquisition
(Tomasello 2003) have embarked on just such research, looking into the relationship between
input data and childrens language within particular linguistic domains (Cameron-Faulkner,
Lieven & Tomasello 2003 for various constructions such as wh-questions, copulas and transitives,
Deissel & Tomasello 2000 for relative clauses, Rowland, Pine, Lieven & Teakston 2003 for wh-
questions, Teakston, Lieven, Pine & Rowland 2004 for verbs and their argument structure).
Te semantic basis of grammatical development :o
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Interchangeability of so-called interchangeable
particles
Corpus analysis of spatial markers, Ni and E
Kaori Kabata
Tree diferent sets of empirical data are compared to examine the usage
distributions of ni and e, two particles that have been traditionally considered
to be interchangeable in marking allative relations. Te data from the
speakers judgment test are more consistent with the semantic analyses of the
two particles, exhibiting interaction between semantic contexts and particle
preference. However, the usage distributions in the spoken and written corpora
exhibited a strong bias for ni regardless of the semantic environment. Te
discrepancy between what is generally considered to be acceptable in Japanese
grammar and the actual usage data stresses the impact of the empirical data in
the further understanding of lexical representation.
1. Introduction
Recent developments in corpus linguistics have demonstrated the magnitude of
impact of usage data on linguistics research and consequently the understanding
of grammar. In particular, in the area of cognitive linguistics, a usage-based ap-
proach to language, where grammatical rules and patterns are claimed to be ab-
stracted from actual patterns of usage (e.g., Langacker 1987, 2000), corpus data
present powerful empirical evidence for the important roles of frequency and con-
ventionalization (e.g., Barlow & Kemmer (eds) 2000). Usage data also play an es-
sential role in studies of grammaticalization and acquisition processes, which are
considered closely relevant to the synchronic usage patterns of language, as dem-
onstrated by Newman and Rice (2004). Moreover, corpus data, as a collection of
actual uses, may challenge some of the previous claims about mental representa-
tions of lexical information, which have largely been based solely on a linguists
native-speaker intuitions. An examination of natural conversational data in
Japanese, for example, has revealed that sentential elements are ofen expressed
:i Kaori Kabata
afer predicates, rather than before (Ono & Suzuki 1992) and that ga, which is
generally considered a subject marker or a nominative case marker, is most ofen
used to convey pragmatic functions, signaling new and/or unpredictable informa-
tion (Ono, Tompson & Suzuki 2000). Similarly, Yamazaki (2002) has shown that
omae, a word usually translated as the second-person pronoun you, is ofen used
at the sentence-fnal position to convey speakers emotive factors.
Despite the general consensus as to the importance of empirical data, includ-
ing corpus data, in cognitive linguistics research, however, researchers have yet to
resolve methodological issues involved in such approaches. As Sandra and Rice
(1995) argue, the results of an experimental study are inevitably subject to task-
efects: While an of-line sorting task would tend to emphasize the diferences
among meanings, a similarity judgment task would more likely emphasize their
resemblance. Furthermore, an on-line task, in which measurements are taken
while participants are actually processing the meanings, would have a diferent
focus from that of of-line tasks, which are generally believed to be a more indirect
measure. Similarly, in corpus-based studies, various aspects of the corpus, includ-
ing the modes of texts and participants, would inevitably infuence the implica-
tions to be drawn from the analyses, as demonstrated by Masuda (2002).
Te primary goal of this paper is to show how diferent empirical data may
lead to diferent conclusions for linguistic categorization of elements under inves-
tigation. Te focus of this paper is the usage distributions of ni and e, which have
been traditionally considered to be interchangeable in marking allative rela-
tions (e.g., Martin 2004). Tree diferent sets of empirical data compared are;
(i) data from a native speaker judgment test, (ii) data from a spoken corpus called
CALLHOME, and (iii) data from a written corpus based on novels and essays. Te
results did not support the interchangeablility the two so-called interchangeable
particles. While the data from the speakers judgment test were more consistent
with the semantic analyses of the two particles, exhibiting interaction between
semantic contexts and particle preference, the usage distributions in the spoken
and written corpora exhibited a strong bias for ni regardless of the semantic envi-
ronment. Moreover, metaphorical use of e in the form of e-to was frequently found
only in the written texts, although e, when used by itself, was limited to the spatial
expressions. By unveiling the discrepancy between what is generally considered to
be acceptable in Japanese grammar and the actual usage patterns found in corpus
data, this study stresses the impact of the empirical data in the further understand-
ing of lexical representation.
Interchangeability of so-called interchangeable particles :
2. Semantic characterization of Ni vs. E
Ni and e, which are both used to indicate a direction or a goal, have not attracted
as much, if any, attention in Japanese linguistics, as have the locative marking ni
and de (Kumashiro 1994; Masuda 2002), the causative marking ni and o (Ikegami
1986, 1987), or the subject marking ni and ga (Kabata 1999; Shibatani 1978). Tis
lack of attention by linguists is probably due to the fact that they are simply thought
to be interchangeable (e.g., Martin 2004). Kaiser, Ichikawa, Kobayashi, and Yama-
moto, for example, state:
With V of motion, e can be used instead of ni to mark a core case (dative of direc-
tion). Whereas ni indicates the goal of a motion, e is said to be concerned more
with the direction towards the goal, but in practice the two are ofen interchange-
able (2001: 134).
Such semantic overlap between a direction marker and a destination marker is
actually far from surprising, since the two concepts are ofen subsumed under the
term allative, which is defned by Svorou (1994) as following:
If the lm [landmark]...is treated as the destination, then the tr [trajector] is mov-
ing in an allative motion in the direction of the lm. In this case, the implication
is that the tr has started the movement with the intention of reaching the lm, and
other things being equal, it will reach it (1994: 27) [emphasis added].
Many languages allow one grammatical morpheme to describe both relations, as
shown in (1), in Maori. Tese examples are from Bauer (1993):
1
(1) a. Ka hoki eeraa ki Rurunui [goal]
t/a return those Rurunui
Tey returned to Rurunui.
b. E whakahorohoro ana au ki te kaainga [direction]
t/a hurry t/a Isg the home
Im hurrying home.
Despite the semantic overlap of the two particles in modern Japanese as dis-
cussed in the previous literature, they are regarded as having developed with two
1. Below is the list of abbreviations used in this paper:
acc accusative nom nominative
all allative past past tense
conn connective qt quotative
cop copula t/a tense/aspect marker
gen genitive top topic marker
loc locative
:| Kaori Kabata
distinct functions. Although no direct record is available to indicate the origin
of ni, because most of its uses are found in the earliest written records of Japanese,
Kabata (2000) argues, based on cross-linguistics and circumstantial evidence,
that one of its most basic senses is that of describing the spatial goal. Te particle
e is generally believed to have evolved out of the noun he area, vicinity, around
7th or 8th century, taking on the sense describing a direction of motion (e.g.,
Martin 2004; Yamaguchi & Akimoto 2001). Around the middle of Heian Era
(794 1191) e started to indicate the endpoint of motion, and thus to overlap
semantically with ni.
Figure 1 provides a schematic illustration of the two distinct but related senses
of the two markers, based on the previous literature. Te basic sense of ni is the
one illustrated in Figure 1b. Te focus is on the endpoint of a motion, best de-
scribed by goal-oriented verbs like tsuku arrive, hairu enter, and tsukeru attach.
Te basic sense of e, on the other hand, is to mark the direction of a motion whose
focus is on the source or the path, as with the verbs like deru exit, susumu pro-
ceed, and mukau head (for). Verbs like iku go and kuru go do not have strong
focus on either the endpoint or the source/path, and are equally compatible
with either type of marker.
While e is generally considered as being limited to the marking of spatial rela-
tions, ni is associated with a wide array of functions marking both spatial and non-
spatial relations, as shown in (2a) and (3a). However, when used in a prenominal
phrase with the genitive marker no, e marks both spatial and non-spatial relation-
ships, as shown in (2b) and (3b):
TR LM
a. ALLATIVE
b. GOAL marker NI
(focus on the endpoint)
c. DIRECTION marker E
(focus on the source/path)
TR LM TR LM
Figure 1. Ambiguity of ALLATIVE marker
Interchangeability of so-called interchangeable particles :,
(2) a. nihon ni/e shuppatsu-suru
Japan all departure-do
(I am going to) depart for Japan.
b. nihon *ni/e no shuppatsu
Japan all gen departure
a departure for Japan.
(3) a. kodomo ga oya ni/*e hanpatsu-suru
child nom parents all rebel-do
A child rebels against his parents.
b. kodomo no oya *ni/e no hanpatsu
child gen parents all gen rebel
A childs rebel against his parents
Tus, previous literature indicates that the semantic distinction these two direc-
tional markers had originally has faded over time and e has extended its usage into
the semantic feld originally occupied by ni. However, those claims have been sole-
ly based on the researchers native intuition or at best unsystematic observation.
As Kabata (in preparation) has found, the patterns of child acquisition of these two
markers difer, with the directional marker ni emerging much earlier and being
much more frequent than e. Assuming childrens language acquisition is much
infuenced by the adults input (e.g., Hallan 2001), one would expect to fnd some
diferences between the two markers in their usage patterns by native speakers.
But how do they difer, if they do, and how can we explain such diferences? Tree
sets of empirical data are compared to address this question.
3. Ni and E in the speaker judgment data
3.1 Procedure
20 native speakers of Japanese, including 4 male and 16 female, participated in the
experiment.
2
Te participants were all studying at the University of Alberta,
Canada, at the time of the experiment. Te participants had been living outside of
2. Tis test was conducted as part of a comparative linguistics study in which I compared the
semantic distributions of Japanese particles and those of Korean counterparts. Te results were
presented jointly with Jeong-Hwa Lee at the 6th CSDL conference, Rice University, Houston,
TX, October 1214, 2002.
:o Kaori Kabata
Japan for periods of time ranging from 5 months to 10 years, with the average be-
ing 2 years and 1 month. Tey all spoke Japanese on a daily basis.
3
Te stimuli for the study were 50 sentences (shown in Appendix with English
translation), which were diferentiated in terms of several semantic factors, in-
cluding the verb types (goal-oriented, path-oriented, or neutral), the tense and
aspect of the predicate (present perfect, past, or future), and the size of the location
or the container (small, middle, or large). Five sets of stimuli were prepared by ar-
ranging the 50 sentences in fve diferent random orders. Participants were asked
to read the instruction carefully and provide personal information before starting
the experiment. Te participants task was to rate the acceptability of the two
allative particles, e and ni, in each stimulus sentence. Tey were instructed to
base their judgment on their native intuition and to proceed at their own pace. Te
acceptability scale ranged from 1 to 5, with the rating 1 and 5 indicate that
participants judged ni and e as being exclusively acceptable respectively. Te rating
3 indicates that either particle is equally acceptable, and 2 or 4 that one was
more preferred to the other, although both are acceptable. Te obtained data were
subject to further statistics analyses.
3.2 Results
Te bar graph in Figure 2 illustrates the overall particle distribution of the 50 stim-
ulus sentences presented in original Japanese in Appendix. A higher or lower score
on the rating scale indicates stronger preference for e or ni by the participants. As
can be seen in the graph, ni was generally preferred over e: Te distribution of rat-
ings ranged rather narrowly from 1.25 to 3.47, with the average score at 2.33.
4
ANOVA tests revealed that the type of Japanese locomotive verbs goal-
oriented verbs (e.g., tsuku arrive), source-oriented verbs (e.g., shuppatsusuru
depart), or neutral type (e.g., iku go) were found to interact with the choice of
3. Te dialectal variation and deviation from so-called standard Japanese were pointed out
during the discussion at the symposium. Te author is aware that there are some dialectal varia-
tions in the usages of ni and e, as listed in Tokugawa (1989). Martin (2004: 46) also mentions that
speakers in downtown Tokyo tend to use e in place of ni. However, in this paper any dialectal
usage of ni and e, if any, were treated as individual diferences in the data. Tis decision was
made for the following reasons: (i) Variations in language use may exhibit dialectal diferences,
generational changes, etc., which are impossible to distinguish unless detailed studies are con-
ducted, which is beyond the scope of the present study. (ii) Te sentences presented in the speak-
er judgment task were written in what is generally considered to be standard Japanese, with
which all the participants were familiar through formal educations they had received in Japan.
4. Te Korean data were rather contrastive to the Japanese data, with the scores more widely
distributed ranging from 1 (only ey is acceptable) to 5 (only (u)lo is acceptable). Te average
score for the Korean data was 2.80.
Interchangeability of so-called interchangeable particles :
1 Taro went to America last week
1 2 3 4 5
2 Taro has gone to America
3 Taro will go to America
4 Taro left for America last week
5 Taro has left for America
6 Taro is going to leave for America tomorrow
9 Taro will arrive in America tomorrow
10 Taro went to the airport last week
11 Taro has gone to the airport
12 Taro will go to the airport
13 Taro left for the airport last week
14 Taro has left for the airport
15 Taro is going to leave for the airport tomorrow
16 Taro arrived in the airport last week
17 Taro has arrived in the airport
18 Taro will arrive in the airport tomorrow
19 Taro went to school last week
20 Taro left for school tomorrow last week
21 Taro arrived in school last week
22 Taro went to work last week
23 Taro left for work tomorrow last week
24 Taro arrived in work last week
25 Taro put the car inside the warehouse
25 Taro is going to the car inside the warehouse
27 the car moved inside warehouse
28 the car is going to move inside warehouse
29 Taro took the car outside the warehouse
30 Taro is going to take the car outside the
31 the car moved outside warehouse
32 the car is going to move outside warehouse
33 Taro poured tea inside/into the cup
34 Taro is going to pour tea inside/into the cup
33 the coin fell inside/into cup
36 the coin is going to fall inside/into cup
37 Taro spill tea onto the table
38 Taro is going to spill tea onto the table
39 tea spilled onto the table
40 tea will spill outside of the cup
41 Nile river pours into the Mediterranean sea
42 Taro turned his chin upward
43 Taro turned his chin downward
44 Taro turned his chin leftward
45 California is in contact with Pacifc ocean
46 my cheek came in contact with the foor
47 Taros hand came in contact with my face
48 Taros plam came in contact with my nose
49 Nevada is contiguous to Pacifc ocean
50 Taros hand almost touched my face
7 Taro arrived in America last week
8 Taro has arrived in America
ni e
Figure 2. Allative particle distribution in Japanese based on the 50 stimulus sentences
:8 Kaori Kabata
particle at a signifcant level (F = 49.91, p< .01). Te mean rating score was 1.64 for
sentences with tsuku arrive (S7-S9 and S16-S18), indicating a strong preference
for ni. With iku go and shuppatsusuru depart, the preference for e was stronger,
although even for the latter the preference was far from being exclusive. Te mean
rating scores were 2.9 for sentences with iku go (S1-S3, and S10-S12) and 3.2 for
those with shuppatsusuru depart (S4-S6, and S13-S15) respectively. Te size of the
goal location or the tense or aspect did not show a signifcant interaction with the
particle choice with any of these locomotive verbs.
In sentences describing movement into a container the container size used
in the stimuli varied from small (e.g., a cup), to middle-size (a garage), to extra
large (the Mediterranean Sea) the size of the goal location was found to infuence
particle preference (F = 18.11, p< .01). Te acceptability ratings for these sen-
tences were 1.7 with small containers like a cup (S33-S36), 2.4 with middle-seized
containers like a garage (S2528), 2.6 with large containers like the Mediterranean
Sea (S41), indicating that speakers perceived acceptability for e is higher with a
larger container.
Te data also indicated that there were rather distinct patterns of particle
preference with regard to the type of event, namely turning (S42-S44) vs. con-
tact (S45S50). In describing the former, described by mukeru turn in the stim-
ulus sentences, there was a strong preference for the particle e: Te mean scores
for S42-S44 was 2.32. In contrast, ni was judged as almost exclusively acceptable
in the sentences with fureru contact. For S45S50, the acceptability rating scores
were 1.5. Neither the direction of the turning movement (i.e., upward, sideways,
etc.) nor the size of the location for contact showed interaction with the particle
preference.
To summarize, the results of the speaker judgment test were consistent with
the semantic analyses of the two particles in general. While ni is generally more
preferred as a spatial goal marker by native speaker participants, the preference
between the two spatial markers interact with various semantic factors including
the type of locomotive verbs and the container size. Tese semantic factors are
interpreted as setting the described event as either more goal-oriented (and more
compatible with ni) or more source/path-oriented (more compatible with e).
4. Ni and E in spoken data
4.1 Methodology
Te purpose of this corpus analysis was to examine the usage distributions of
ni and e and determine whether they refect the semantic characteristic of each
Interchangeability of so-called interchangeable particles :
particle as discussed in the previous literature. Spoken speech data were collected
from a corpus of telephone conversations from CALLHOME Japanese Speech,
collected and released in 1997 by the Linguistic Data Consortium.
5
Te corpus
consisted of 120 fles of recorded phone conversations between the participants,
who were native speakers residing in the United States, and their family members
or close friends. Te length of transcribed conversations, which were contiguous
segments taken from approximately 30-minute-long phone calls, varied from
5 minutes to 10 minutes, totaling 1,100 minutes for the entire corpus.
All utterances containing the particle e were extracted and analyzed. In the
case of ni, since it is associated with variety of usages, only those that contain
the allative usage describing movement in the spatial domain were subject to
the analysis. Sentences that contain a verb that describe movement in the spatial
domain but are used metaphorically (e.g., used with a non-spatial noun or noun
phrase, such as ninenme the second year as in ninenme ni hairu enter the second
year) were also included in the data.
Te types of verbs and nouns that were used with the two particles were exam-
ined. Verbs were analyzed in term of the goal- or source-orientedness: while
verbs like tsuku arrive, hairu enter, and oku put/place are, in a neutral context,
characterized as profling the endpoint of the motion (i.e., the location towards
which the object is moving), and are categorized as goal-oriented. Verbs like deru
exit, shuppatsusuru depart, on the other hand, profle the location away from
which the object is moving, and are categorized as source-oriented. Verbs that are
not strongly associated with either the goal or the source of a movement were
treated as neutral.
4.2 Results
Tere were only 78 instances of e, while 639 out of the total 3898 instances of ni
were found to be used as a spatial goal marker, suggesting the dominance of ni and
the limited use of e in describing spatial goal.
Out of the total 78 instances of e, 15 instances appeared either in verbless ut-
terances, as part of a fxed phrase tsugi-kara-tsugi-e one afer another, or in a pre-
nominal phrase ...e-no discussed above in (2) and (3). Te remaining 63 instances
of e were used with 22 diferent verbs, as shown in Table 1.
6
Iku go, which is con-
sidered to be neutral in terms of goal- or source-orientedness, appeared with e
29 times, or 46% of all the instances. Kuru come, kaettekuru come back, which are
5. Information about LDC corpora is available at <http://www.ldc.upenn.edu/Catalog>.
6. Te lists in the tables are for verbs and noun phrases that occurred with each particle in
more than 2% of the total instances.
:8o Kaori Kabata
Table 1. List of frequently co-occurring verbs with e and ni in the spoken corpus
(Verbs that were appear on the both lists are indicated in bold)
E Ni
Token frequency 63 Token frequency 639
Type frequency 22 Type frequency 62
iku go 29 iku go 212
kuru come 4 kuru come 69
kaetteiku return 4 hairu enter 57
deru exit 4 ireru put in 37
yoru drop by 3 deru exit 28
okuru send 2 denwasuru phone 28
tsureteiku take 2 kaeru return 22
okuru send 18
15 others verbs 15 noru get into 14
tsuku arrive 13
kaku write 13
51 other verbs 156
also interpreted as a neutral type, were used with e 4 times each. Despite the as-
sumed semantic compatibility, source-oriented verbs, such as deru exit, were
found rather infrequently in only 6 instances. Goal-oriented verbs were also used
very infrequently, with verbs like tsuku arrive and oku put down appearing in
only 7 instances altogether.
Sixty-two diferent verbs were found with ni, resulting in a token vs. type ratio
at as high as 10: 1, far higher than that of e, suggesting that some of the verbs were
used highly frequently with ni. In fact, ni was used with iku go 212 times (33%),
followed by kuru come at 69 instances (11%). Goal-oriented verbs hairu enter
and ireru put in produced 57 and 37 instances respectively, together constituting
15% of all the instances of ni, indicating its compatibility with sentences that focus
on the endpoint of the motion. Other goal-oriented verbs found relatively fre-
quently with ni included noru get in/on and tsuku arrive. However, ni was also
used with source-oriented verbs, such as deru exit, dasu put/take out and deka-
keru go out, altogether in 34 instances (5%), far more frequently than e, which
appeared with them only in 6 instances.
Te particle e was found to be fairly limited in terms of the range of collocating
NPs, as well as verbs. Only 27 diferent nouns were found in all 76 cases: Two in-
stances where e was used in an idiomatic expression or in a prenominal expression
were excluded from the analyses. Te most frequent was the demonstrative locative
Interchangeability of so-called interchangeable particles :8:
NP soko there at 13 times (17%), followed by the interrogative locative NP doko
where at 12 times (16%). Te combination of interrogative and demonstrative
locative nouns provided 33 instances, or 43% of all instances of e. Moreover, of the
12 instances of doko where, 7 instances appeared with the verb iku go, forming a
string doko e iku. E was also used with generic or unspecifed locative nouns such
as tokoro place, ... no hoo in the direction of ..., and mukoo over there.
Two hundred and sixty diferent nouns were used in the 640 instances of ni.
Te most frequently used nouns included place NPs like nihon Japan (34 instances)
and amerika America (22 instances), whose high frequency was not surprising
since the phone calls were made between the States and Japan. Defnite place
nouns like uchi home (33 instances), and gakko school (20 instances) were also
frequent in the data. Locative demonstrative NPs such as koko here, soko there,
sotchi there, kochira or kotchi here appeared 71 times (11%). Kochira and kotchi
here together comprised 28 instances, 21 of which were used with the verb kuru
come as in kotchi ni kuru come this way. Tis frequent use of ni with kuru was
somewhat contrastive to the use of e with the verb, which appeared only 4 times,
and only once with kotchi here as in kotchi e kuru.
Ni was used with various place nouns of various sizes, including countries
(74 instances or 12%), states and towns (60 instances or 9%), and buildings and
rooms (127 instances or 20%), as well as other concrete nouns like fuutoo enve-
lope, saifu wallet, and reezooko refrigerator. Ni was also used with various rela-
tional nouns such as ... no ue top, shita beneath, naka inside, ushiro back, for a
total of 33 instances, with 8 diferent nouns. Unspecifed locative nouns like tokoro
place and ... no hoo in the direction of also appeared 15 and 14 times respec-
tively. Metaphorical expressions containing temporal nouns like ni-nen-me the
second year, and abstract nouns like jootai situation and nakama circle of people
were also found, though with a limited range of verbs, such as hairu enter and
ochiiru fall into.
In sum, an examination of e and ni in spoken data has indicated that, contrary
to the expectation based on the semantic analysis, ni is much more frequently used
as a goal marker regardless of the locative sizes or the verb types. Even souce-
oriented verbs like deru exit was a lot more frequent with ni at 28 instances as
opposed to 4 instances with e. Usage distribution of e was fairly restricted both in
terms of the collocating verbs and nouns: the verb iku go comprised over a third
of the all the instances of e, and the interrogative locative NP doko where and
locative demonstrative NPs including soko there kotchi here together counted
over 40%. While ni also exhibited some of its frequent fxed patterns, such as ...ni
iku, and kotchi ni kuru, it was used with a much more variety of verbs and NPs,
suggesting its dominance as an allative marker.
:8i Kaori Kabata
Table 2. List of frequently co-occurring NPs with e and ni in the spoken corpus
E Ni
Token frequency 76 Token frequency 640
Type frequency 27 Type frequency 260
soko there 13 uchi home 34
doko where 12 nihon Japan 34
tokoro place 7 kochira/kotchi here 28
kotchi this way/here 6 amerika America 22
...no hoo the direction of 4 gakkoo school 20
mukoo over there 3 tokoro place 19
asoko over there 2 soko there 18
..no soto outside [of] 2 ..no hoo the direction of 13
amerika America 2
namikawa (place name) 2 227 other spatial nouns 439
14 non-spatial nouns 13
17 other spatial nouns 23
5. Ni and E in written text data
5.1 Methodology
Table 3 lists the ten novels and essays used for the written corpus. All the texts,
taken on line from Aozora Bunko at http://www.aozora.gr.jp/, were written within
the last two decades, and were thus expected to represent current usage of the two
particles. Each instance of the two particles ni and e were extracted and analyzed
in the same manner as with the CALLHOME data.
5.2 Results
Te written corpus contained 565 instances of e, as opposed to 3013 instances of
ni as a goal-marker, demonstrating that ni is more prevalent than e in the written
texts as in the spoken texts, but that the preference did not appear as strong. Te
ratio of overall frequencies between e and ni was roughly 1 to 5 in the written cor-
pus, as opposed to 1 to 8 in the spoken corpus. However, a closer examination of
the data revealed that e is rather limited in its usage distribution, despite its overall
frequency. Te total 565 instances included 191 instances (34%) where e preceded
no in the prenominal expression ...e-no, which appeared only once in the spoken
data. Tere were also 11 instances of fxed expressions such as tsugi-kara-tsugi-e-to
one afer another and doko-e-yara somewhere (out there). Te remaining 363
instances were subject to further analyses.
Interchangeability of so-called interchangeable particles :8
Table 3. List of novels and essays used for the written corpus
Author year Title [English translation]
Akino, T. 1993 Rokku Nanajuunendai [Rock in the 70s]
Hamano, S. 1998 Shintoshi Ongaku Nooto [A Music Note in New Towns]
Ichikawa, Y. 2000 Hookago no Rockn Roll [Rockn Roll afer School]
Kareha. 2001 Great Gatsby (Translation of Te Great Gatsby by F.S. Fitzgerald)
Koba, T. 1999 Sophia
Koizumi, H. 1999 Mimizu Monogatari 2 [An Earthworm Story 2]
Kuwahara, I. 1998 Ningen no Kihon [Te Foundation of Human Beings]
Sano, R. 1993 Warera Rifutaa [We Weightlifers]
Takahashi, Y. 1997 Ongaku no Han-hooron Josetsu [Introduction to Anti-Music
Methodology]
Yamagata, H. 1999 Garan to Bazaaru (Translation of Te Cathedral and Bazaar by
E. Raymond)
Table 4. List of frequently co-occurring verbs with e and ni in the written corpus
E Ni
Token frequency 341 Token frequency 3013
Type frequency 165 Type frequency 710
iku go 34 hairu enter 136
mukau head (for) 19 mukau head (for) 104
susumu proceed 10 iku go 101
hairu enter 9 deru exit 91
modoru return 8 kuru come 68
aruku walk 8 tatsu stand 65
yattekuru come 8
704 other spatial VPs 2448
141 other spatial VPs 208
17 non-spatial VPs 37
Among the 363 instances of e were 22 verbless sentences. As shown in Table 4, the
remaining 341 instances of e were found with 165 diferent verbs, resulting in a
token vs. type ratio of 2 to 1, indicating a more even usage distribution of e with
verbs than in the spoken data, where the token vs. type ratio was 3 to 1. Te verb
iku go was again the most frequent in the written data, at 34 instances (10%, as
opposed to 46% in the spoken data). Path-focused verbs like mukau head (for)
and susumu proceed were also frequent at 19 and 10 instances respectively. In
contrast to the spoken data, e was used with a variety of goal-focused, neutral,
:8| Kaori Kabata
Table 5. List of frequently co-occurring NPs with e and ni in the written corpus
E Ni
Token frequency 363 Token frequency 3013
Type frequency 226 Type frequency 1354
..(no) hoo the direction of 19 ..(no) naka inside [of] 99
..(no) naka inside [of] 15 ..(no) ue on top [of] 66
gakkoo school 13
soko there 6 1088 other concrete NPs 2457
tokoro place 5 37 temporal NPs 70
doko where 5 227 abstract NPs 321
172 other concrete NPs 247
4 temporal NPs 5
44 abstract NPs 48
and source/path-focused verbs in the written data. E was used with 35 goal-
focused verbs including hairu enter (9 instances) and modoru return (8 instanc-
es). E was also used with verbs that describe non-spatial events such as changes in
the cognitive domain. Tey include kaeru change (3 instances), henkasuru change
(3 instances), seechoosuru grow (3 instances), and tenkansuru convert (2 instanc-
es). (4) presents some of the examples:
(4) a. ... sore ga subarashii mono e to seechooshi-ta.
that nom wonderful thing all qt grow-past
(and) it grew into something wonderful.
b. Fankii wa futatabi wadai wo ta e tenji-yoo to ki wo
Fanky top again topic acc else all change-will qt be
tsukau.
anxious.
Fanky is anxious to try to change the topic again.
Turning to the distribution of NPs, 363 instances of e appeared with 226 diferent
NPs. Te most frequent was (... no) hoo the direction [of ...] (19 times), followed
by (... no) naka inside (15 times) and gakkoo school (13 times). Demonstrative
NPs, such as soko there, koko here, and kochira here/this way, and the interroga-
tive locative NP, doko where, which together occupied 43% of the total instances
of e in the spoken data, appeared only 14 times (less than 4%) in the written data.
Moreover, unlike the spoken data, the written data contained 48 instances of e
found with 44 abstract nouns, many of which were used with verbs describing
Interchangeability of so-called interchangeable particles :8,
spatial motions, such as oikomu chase, michibiku lead, and tsuresaru take (some-
body) away. Some of the examples are shown in (5):
(5) a. ...kyokugenjookyoo e jibun o oikomi...
ultimate state all self acc chase
... chase himself into the ultimate state, and...
b. mata tsugi no mokuhyoo e mukat-te-iku.
again next gen goal all head-conn-go
(then) he moves on again to head for the next goal.
However, a closer examination revealed many of the instances of e used with goal-
focused verbs, and most of those with non-spatial verbs, appeared before the par-
ticle to as in ...e-to V, as illustrated in (4a) above. In fact, 142 instances of e were
followed by to in the written data, comprising 42% of all the instances where e was
used with a verb. Among the 142 instances of e-to were 24 where e was used with
a goal-oriented verb, including 4 with hairu enter and all the 5 instances with
tsunagaru connect. It was also found that 29 out of the 37 instances (78%) of non-
spatial verbs, and 38 of 48 instances (78%) of abstract nouns appeared with e-to.
Table 6 illustrates the distribution of VPs and NPs with e afer all the instances
with e-no, e-to and verbless sentences are excluded. While the lists of the frequent-
ly co-occurring verbs or nouns are not very diferent from those in Tables 4 and 5,
the number of non-spatial VPs and NPs are radically lower, indicating that the
function of e, unless used with to, is mostly limited to the spatial expressions. Only
Table 6. Distribution of VPs and NPs used with e with e-no, and e-to excluded
VPs NPs
Token frequency 201 Token frequency 202
Type frequency 106 Type frequency 127
iku go 33 ..(no) hoo the direction 14
susumu proceed 8 [of] gakkoo school 12
mukau head (for) 8 ..(no) naka inside [of] 9
modoru return 7 sentoo public bath 6
yattekuru come 7 dokoka somewhere 4
hairu enter 5 doko where 4
utsusu move 4 soko there 4
okurikomu send in 4 ...(no) tokoro place 4
deru exit 4
114 other concrete NPs 150
90 other spatial VPs 118 5 abstract NPs 5
7 non-spatial VPs 7
:8o Kaori Kabata
11 instances were found where e was used to describe an abstract event, as in
mokuhyoo e mukau head for an aim and kyokugenjookyoo e oikomu chase (some-
body) into an extreme situation. Only 1 instance was found where e was used with
a non-spatial VP and an abstract NP.
Compared to e, ni was used more frequently and in a wider range of colloca-
tion environment in the written texts as well, exhibiting again its dominant status
in the semantic expression of spatial goals. While ni also appeared with other par-
ticles following it, such as mo also (as in ni-mo), wa (a topic maker), made until,
and demo as well, in 103 instances, unlike the occurrences of e, none of the uses of
ni in these cases were seen to deviate from the function of marking a spatial goal:
the other particle was used to add some discourse-level information and the sen-
tences would be just as acceptable if ni were used by itself. Te allative use of ni
was found in 3013 instances with 710 diferent verbs, resulting in a token vs. type
ratio 4 to 1, as opposed to 2 to 1 for e, indicating that some verbs were closely as-
sociated with ni. All types of verbs, including goal-oriented and source- or
path- oriented verbs, as well as those that are neutral, were found at high fre-
quency. As shown in Table 4, among the most frequently used verbs in the data
were hairu enter, a goal-oriented verb, mukau head (for) and deru exit, both
path/source-oriented verbs. Verbs that are neutral in terms of goal- or source-
orientedness, such as iku go and kuru come, also appeared frequently.
Ni was used with 1354 diferent NPs, with very few of them appearing more
frequently than 2% or even 1% of the total instances, as shown in Table 5. Non-
spatial nouns were used with spatial verbs to describe abstract events in 391 in-
stances (13%). Tey included temporal expressions like mirai future as in mirai ni
(...wo) hakobu carry ... to the future, and abstract nouns like kokoro mind, ket-
suron conclusion used in expressions like kokoro ni todoku reach ones mind or
ketsuron ni tassuru reach a conclusion.
7
6. Discussion
Findings from the present study indicate discrepancy among what is generally
believed as their semantic property based on semantic analyses, native speakers
perception of semantic distribution of e and ni, and their actual use. Compared to
the native speaker judgment data, nis dominance over e as a spatial goal marker
was much more robust in the spoken and written corpus data, with the frequency
7. Of course, there are many instances where ni is used to describe non-spatial, abstract
events. In this particular study, however, only the instances were ni appears with spatial verbs
were subject to the analysis.
Interchangeability of so-called interchangeable particles :8
ratio of instances of e to ni at roughly 1 to 8 and 1 to 5 respectively. While native
speaker ratings in the judgment test indicated a higher acceptability of e in sen-
tences with a focus on the source, e was not found any more frequently than ni
with source-/path-focused verbs in neither the spoken nor the written corpus.
On the other hand, there was a strong preference for ni in contexts with a focus on
the endpoint of a movement, both in the experimental data and in the corpus data.
Although noun type exhibited interaction with particle choice with verbs with a
meaning related to enter in the native speaker judgment test, the corpus data in-
dicated that ni is preferred in such contexts regardless the size of the location.
Te data also indicated that there are certain characteristics in the patterns of
particle uses in spoken and written texts. Te spoken text included certain groups
of expressions that appeared repeatedly. For example, e appeared with locative de-
monstrative or interrogative nouns soko there and doko where nearly half the
time in the spoken corpus, but only 5% in the written corpus. Similarly, iku go was
the most frequently used verb both with e and ni in the spoken texts, at 46% and
33% of all the instances respectively, but it appeared only about 10% with e and less
than 5% with ni in the written texts.
Te use of e in the written texts exhibited diferent usage patterns from those
in the spoken texts. Te prenominal expression e-no was particularly frequent in
the written text, appearing 34% of all the instances of e, as opposed to one single
occurrence in the spoken text. Te uses of e in describing abstract events were
found only with the written text, and most of them appeared with e-to, which ap-
peared 142 times in total. It seems that e-to functions as a complex particle, like
e-no, and marks both spatial and non-spatial goal, as does e-no. E-to was used to
describe both spatial events, shown in (6a) and abstract events with which neither
e nor to can be acceptable without each other, as shown in (6b). Te examples are
taken from the written corpus:
(6) a. boku wa shibafu o tsukkit-te, jibun no uchi {e-to/e}
I top lawn acc go through-conn self gen home
isoi-da.
hurry-past
I hurried home across the lawn.
b. hito wa kooyuu no naka de fukusuu no kachikan
person top friendship gen inside loc multiple gen value acc
o motta ningen {e-to / *e / *to} seechooshi-te-iku no da.
have human grow-conn-go nom cop
People grow up to become a human being with multiple value sys-
tems being (involved) in friendship.
:88 Kaori Kabata
Te function of e-to seems to have largely been neglected in Japanese linguistics.
Martin (2004: 10078) is among the few who discuss the e-to expression, but lim-
its himself to saying that e-to emphasizes the goal sense. Martin fails to recognize
the fact that in todays Japanese e-to can mark non-spatial relations that e alone
would not: While e was used to describe non-spatial goals in some instances, the
extent of such uses was still fairly limited to fxed expressions. How e-to has devel-
oped and is going to develop is an interesting issue, which I hope will be further
investigated in a future study.
Further examination of usage patterns of e and ni revealed some semantic
characteristics of certain verbs. In the spoken texts, iku go was the most frequent-
ly used verb both with e and ni (46% and 33% of the total instances of each parti-
cle), whereas kuru come was used almost exclusively with ni. Kuru appeared with
ni in 69 instances (11% of all the instances of ni), but with e in only 4 instances (6%
of all the instances of e). Moreover, 22 of the instances where kuru occurred with
ni made use of the expression koko/kotchi ni kuru come here/this, while iku took
a wider range of locative nouns as its landmark. Although the two deictic verbs are
commonly treated as if they difer only in terms of the direction of movement,
they seem to also difer in the degree of specifcity of the landmark, likely with
kuru indicating more focus on the goal. A similar usage pattern was observed for
the verbs ireru put in vs. dasu take out and hairu enter vs. deru exit. While the
source-focused verbs dasu and deru were used both with e and ni, the goal-fo-
cused verbs ireru and hairu were used almost exclusively with ni.
Despite the common assumption of the interchangeability of e and ni, the results
suggested that native speakers are not using these two particles randomly, as com-
monly suggested in dictionaries and grammar books. Rather, ni has become domi-
nant in the semantic feld of spatial goal marking to the point where e is used in a
very limited contexts, both in terms of the overall frequency of occurrence and in
terms of the types of nouns and verbs it takes. Tis is rather contradictory to the
previous literature, which implies that e has extended its function to take on the goal-
marking function previously associated with ni. At the same time, e seems to have
acquired a grammatical function to mark abstract relations when used with no in the
adnominal marker e-no or with to in e-to. Te high frequency of e-no and e-to in
written texts further suggests the discrepancy between spoken and written speech.
Tese fndings are, however, only tentative due to limitations of the study. A
future experimental study will have to be based upon a larger corpus and be tested
with more participants. Individual diferences should also be taken into consider-
ation. Te fndings also have to be tested against diferent types of corpus data.
While representing spontaneous unprepared speech, telephone conversations may
deal with diferent topics from face-to-face conversations, which might have infu-
enced the data. More diferent types of written texts also need to be analyzed.
Interchangeability of so-called interchangeable particles :8
7. Implication to grammar
Over the last two decades, cognitive and functional linguists have devoted their
research to demonstrate that language must be described as an integral facet of
overall psychological organization, and that well-formedness judgments are of-
ten matters of degree, and refect the subtle interplay of semantic and contextual
factors (Langacker 1988: 45). Moreover, such a view of grammar diverges from
that generally held by formal linguists who maintain that language is a self-
contained module and that grammar is an algorithmic system that generates only
grammatical sentences. Based on three diferent types of empirical data, the results
of this study have provided a supporting piece of evidence for the cognitive
linguistics view of the grammar, by showing that the speakers use of the two goal-
marking particles, which have been traditionally treated as if they were semanti-
cally poor and were mainly associated with grammatical functions, indicate the
interaction between the their conceptualization of the situation and the semantics
of the particles. Te two particles are not used randomly, nor are as interchange-
able as suggested by some of the previous studies.
Te results of the present study have, however, suggested we need to further
establish the empirical methods to approach the issues dealing with grammar. Te
discrepancy between the speakers judgment data and the frequency data from the
spoken and written corpora leaves us wonder what is indicated by acceptability or
interchangeability. Assuming that grammar is at least in part acquired through
entrenchment and conventionalization (e.g., Tomasello 2000), frequency data
from the actual usage should be expected to play some role in determining the
nature of lexical items or constructions, as argued by Newman and Rice (2004).
But what role they should play is yet to be established.
Te results of this study also provided yet another piece of evidence for the
discrepancies between the language uses between spoken and written texts. While
the cognitive linguistics view to grammar assumes the variation among speakers,
how can it accommodate the variation within speakers? Previous studies have al-
ready demonstrated the two texts difer in a variety of grammatical features, in-
cluding word order, choice of lexical and grammatical morphemes, and syntactic
complexity (Quaglio & Biber 2006). Te present study has shown that the usage
patterns of grammatical morphemes, namely particles, may also difer. Does such
diference, then, indicate that there are two sets of grammar, one for spoken and
the other for written? Tere is also the issue of individual diferences: What is ac-
ceptable to one speaker may not be as acceptable to another. It may be due to
dialectal variation, or to generational variation. On the other hand, it may simply
refect diferences in the conceptualization of events. Language is dynamic, refect-
ing the fexibility and elasticity of speakers minds. Further development of corpus
:o Kaori Kabata
linguistics will help us better understand the nature of grammar and its role in
capturing the dynamicity of language.
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Appendix
List of stimulus sentences in the native speaker judgment test.
1. __ Taro went to America last week.
2. __ Taro has gone to America.
3. __ Taro will go to America.
4. __ Taro lef for America last week.
5. __